DFX Intelligence
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Reading the graph
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Advisor at 2••• A•••••••• L••
PEORIA, AZ
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 |
|---|---|---|---|---|---|---|
| 2••• A•••••••• L•• | State registered | Jan 22, 2025 | n/a | yes | PEORIA, AZ | Current employment |
| R•• A•••••••• L•• | Independent wealth | Apr 18, 2022 | Feb 18, 2025 | no | PHOENIX, AZ | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| R•• A•••••••• L•• | 2••• A•••••••• L•• | Feb 18, 2025 | Jan 22, 2025 | -27 | Firm change | RIA to state RIA |
| H••••••• W••••• M••••••••• L•• | R•• A•••••••• L•• | Apr 20, 2022 | Apr 18, 2022 |
| H••••••• W••••• M••••••••• L•• |
| Former SEC adviser |
| Sep 23, 2020 |
| Apr 20, 2022 |
| no |
| PHOENIX, AZ|Peoria, AZ |
| Previous registration |
| 2•• A•••••••• L•• | n/a | May 13, 2016 | Jan 7, 2021 | no | PHOENIX, AZ|Peoria, AZ|Ramona, CA | Previous registration |
| T••• W••••• M••••••••• G•••• L•• | n/a | Aug 16, 2013 | Jul 18, 2016 | no | CHINO, CA | Previous registration |
| J• W• C••• A•••••••• I••• | Bd affiliated wealth | May 10, 2013 | Aug 16, 2013 | no | TAMPA, FL | Previous registration |
| F•••••••• A••••••• O• A••••••• L•• | Former SEC adviser | Feb 23, 2011 | May 10, 2013 | no | RAMONA, CA|CARLSBAD, CA|CARLSBAD, CA|RAMONA, CA | Previous registration |
| Q•• F•••••••• L•• | n/a | Feb 14, 2007 | Feb 11, 2011 | no | OMAHA, NE|RAMONA, CA|ESCONDIDO, CA | Previous registration |
| V••• F•••••••• A•••••••• I••• | Bd affiliated wealth | Dec 8, 2005 | Feb 22, 2007 | no | RAMONA, CA|RAMONA, CA|ESCONDIDO, CA | Previous registration |
| T••••••••• F•••••••• A•••••••• L•• | Bd affiliated wealth | Dec 8, 2000 | Dec 7, 2005 | no | RAMONA , CA | Previous registration |
| -2 |
| Firm change |
| RIA to RIA |
| 2•• A•••••••• L•• | H••••••• W••••• M••••••••• L•• | Jan 7, 2021 | Sep 23, 2020 | -106 | Firm change after gap | Other |
| T••• W••••• M••••••••• G•••• L•• | 2•• A•••••••• L•• | Jul 18, 2016 | May 13, 2016 | -66 | Firm change after gap | Other |
| J• W• C••• A•••••••• I••• | T••• W••••• M••••••••• G•••• L•• | Aug 16, 2013 | Aug 16, 2013 | 0 | Firm change | Other |
| F•••••••• A••••••• O• A••••••• L•• | J• W• C••• A•••••••• I••• | May 10, 2013 | May 10, 2013 | 0 | Bulk transfer | Other |
| Q•• F•••••••• L•• | F•••••••• A••••••• O• A••••••• L•• | Feb 11, 2011 | Feb 23, 2011 | 12 | Firm change | Other |
| V••• F•••••••• A•••••••• I••• | Q•• F•••••••• L•• | Feb 22, 2007 | Feb 14, 2007 | -8 | Firm change | Other |
| T••••••••• F•••••••• A•••••••• L•• | V••• F•••••••• A•••••••• I••• | Dec 7, 2005 | Dec 8, 2005 | 1 | Firm change | Other |