DFX Intelligence
Reading the graph
Reading the graph
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Advisor at G•••• W••••• A•••••••
INDIAN LAND, SC
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 |
|---|---|---|---|---|---|---|
| G•••• W••••• A••••••• | State registered | Jun 26, 2024 | n/a | yes | INDIAN LAND, SC | Current employment |
| L•• F•••••••• L•• | Bd affiliated wealth | Jul 18, 2022 | Oct 25, 2022 | no | FORT MILL, SC | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| L•• F•••••••• L•• | G•••• W••••• A••••••• | Oct 25, 2022 | Jun 26, 2024 | 610 | Firm change after gap | RIA to state RIA |
| A•••• F•••••••• A•••••••• L•• | L•• F•••••••• L•• | Nov 6, 2019 | Jul 18, 2022 |
| A•••• F•••••••• A•••••••• L•• | Independent wealth | Sep 14, 2005 | Nov 6, 2019 | no | CHARLOTTE, NC | Previous registration |
| C•••••• F•••••••• A••••••••• I•• | Former SEC adviser | Sep 25, 2003 | Jul 12, 2005 | no | CHARLOTTE, NC | Previous registration |
| U•• F•••••••• S••••••• I••• | Wirehouse | Sep 30, 2002 | Sep 15, 2003 | no | CHARLOTTE, NC | Previous registration |
| 985 |
| Firm change after gap |
| RIA to RIA |
| C•••••• F•••••••• A••••••••• I•• | A•••• F•••••••• A•••••••• L•• | Jul 12, 2005 | Sep 14, 2005 | 64 | Firm change | Other |
| U•• F•••••••• S••••••• I••• | C•••••• F•••••••• A••••••••• I•• | Sep 15, 2003 | Sep 25, 2003 | 10 | Firm change | Other |