DFX Intelligence
Data Factory
Reading the graph
Reading the graph
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Advisor at C••• L••
OMAHA, NE | Walla Walla, WA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.
| Firm | Class | Began | Ended | Current | Branch | Basis |
|---|---|---|---|---|---|---|
| C••• L•• | Bd affiliated wealth | Sep 12, 2023 | n/a | yes | Walla Walla, WA|OMAHA, NE | Current employment |
| B•••••• I••••••••• G••••• L•• | Former SEC adviser | Oct 8, 2003 | Dec 11, 2023 | no | WALLA WALLA, WA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| B•••••• I••••••••• G••••• L•• | C••• L•• | Dec 11, 2023 | Sep 12, 2023 | -90 | Firm change after gap | RIA to ibd |
| T•• C•••••• G••••• L•• | B•••••• I••••••••• G••••• L•• | May 12, 2005 | Oct 8, 2003 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 128559:155344:WA:2023-12-11 | Dec 11, 2023 | Sep 12, 2023 | WALLA WALLA, WA | Firm change after gap |
| T•• C•••••• G••••• L•• | Independent wealth | Feb 10, 2003 | May 12, 2005 | no | BOISE, ID | Previous registration |
| P•••• S•••••• • C•• | Institutional manager | Apr 17, 2000 | Jan 15, 2003 | no | WALLA WALLA, WA | Previous registration |
| -582 |
| Firm change after gap |
| Other |
| P•••• S•••••• • C•• | T•• C•••••• G••••• L•• | Jan 15, 2003 | Feb 10, 2003 | 26 | Firm change | Other |