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 S•••••••• A••••••• L••
CARY, NC
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 |
|---|---|---|---|---|---|---|
| S•••••••• A••••••• L•• | National bd RIA | Mar 31, 2025 | n/a | yes | CARY, NC|CARY, NC|CARY, NC | Current employment |
| F••••••• P••••••• A•• W•••••••• A••••••• | Former SEC adviser | Apr 18, 2024 | Mar 31, 2025 | no | CARY, NC |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| F••••••• P••••••• A•• W•••••••• A••••••• | S•••••••• A••••••• L•• | Mar 31, 2025 | Mar 31, 2025 | 0 | Bulk transfer | Ibd to ibd |
| P•••••••• S••••••••• I••• | F••••••• P••••••• A•• W•••••••• A••••••• | Nov 26, 2023 | Apr 18, 2024 |
| P•••••••• S••••••••• I••• | Bd affiliated wealth | May 19, 2023 | Nov 26, 2023 | no | RALEIGH, NC | Previous registration |
| F•••••• I••••••••• M••••••••• I••• | Independent wealth | Feb 10, 2017 | Dec 31, 2018 | no | Raleigh, NC | Previous registration |
| P••••••••• C•••••• G••••• I••• | n/a | Dec 1, 2016 | Apr 3, 2019 | no | RALEIGH, NC | Previous registration |
| 144 |
| Firm change |
| Ibd to ibd |
| P••••••••• C•••••• G••••• I••• | F•••••• I••••••••• M••••••••• I••• | Apr 3, 2019 | Feb 10, 2017 | -782 | Firm change after gap | Other |
| F•••••• I••••••••• M••••••••• I••• | P•••••••• S••••••••• I••• | Dec 31, 2018 | May 19, 2023 | 1,600 | Firm change after gap | RIA to ibd |