DFX Intelligence
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 A••••••• A••••••• S•••••••• L••
Homewood, AL
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 |
|---|---|---|---|---|---|---|
| A••••••• A••••••• S•••••••• L•• | Bd affiliated wealth | Mar 31, 2023 | n/a | yes | Homewood, AL | Current employment |
| T•• A••••• G••••• L•• | Independent wealth | Jun 15, 2021 | May 15, 2023 | no | Homewood, AL|VIRGINIA BEACH, VA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| T•• A••••• G••••• L•• | A••••••• A••••••• S•••••••• L•• | May 15, 2023 | Mar 31, 2023 | -45 | Firm change after gap | RIA to ibd |
| R•••••• J•••• • A••••••••• I••• | T•• A••••• G••••• L•• | May 15, 2017 | Jun 15, 2021 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 314424:317245:VA:2023-05-15 | May 15, 2023 | Mar 31, 2023 | VIRGINIA BEACH, VA | Firm change after gap |
| R•••••• J•••• • A••••••••• I••• | National bd RIA | Feb 13, 2013 | May 15, 2017 | no | PALM BEACH GARDENS, FL|Fultondale, AL | Previous registration |
| M••••• K••••• • C••••••• L•• | Former SEC adviser | Dec 18, 2003 | Feb 13, 2013 | no | CORAL GABLES, FL|JUPITER, FL|JUPITER, FL|PALM BEACH, FL|PALM BEACH, FL | Previous registration |
| 1,492 |
| Firm change after gap |
| Ibd to new firm |
| M••••• K••••• • C••••••• L•• | R•••••• J•••• • A••••••••• I••• | Feb 13, 2013 | Feb 13, 2013 | 0 | Bulk transfer | Other |