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••••••• I••••••••• P•••••••
••• Locked
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••••••• I••••••••• P••••••• | Independent wealth | Feb 29, 2024 | n/a | yes | Scottsdale, AZ|NEWTOWN SQUARE, PA | Current employment |
| K•••••• C••••••• L•• | State registered | Dec 22, 2020 | n/a | yes | SCOTTSDALE, AZ | Current employment |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| D•••••• W••••• M••••••••• P••• | A••••••• I••••••••• P••••••• | Jan 24, 2024 | Feb 29, 2024 | 36 | Firm change | Other |
| S•••••••• F•••••••• G••••• L•• | K•••••• C••••••• L•• | May 10, 2021 | Dec 22, 2020 |
| D•••••• W••••• M••••••••• P••• |
| n/a |
| Apr 22, 2021 |
| Jan 24, 2024 |
| no |
| Phoenix, AZ |
| Previous registration |
| S•••••••• F•••••••• G••••• L•• | Independent wealth | Jun 9, 2014 | May 10, 2021 | no | GOODLETTSVILLE, TN | Previous registration |
| A•••••• A••••••• S••••••• | Former SEC adviser | Oct 27, 2011 | Jun 23, 2014 | no | PHOENIX, AZ | Previous registration |
| M•••••• A••••• S••••••••• L•• | Bd affiliated wealth | Mar 18, 2010 | Sep 6, 2011 | no | SAN DIEGO, CA|PHOENIX, AZ | Previous registration |
| M•• I•••••••• S•••••••• L•• | Bd affiliated wealth | Apr 30, 2007 | Dec 31, 2009 | no | Scottsdale, AZ|PHOENIX, AZ | Previous registration |
| -139 |
| Firm change after gap |
| RIA to state RIA |
| A•••••• A••••••• S••••••• | S•••••••• F•••••••• G••••• L•• | Jun 23, 2014 | Jun 9, 2014 | -14 | Firm change | Other |
| M•••••• A••••• S••••••••• L•• | A•••••• A••••••• S••••••• | Sep 6, 2011 | Oct 27, 2011 | 51 | Firm change | Other |
| M•• I•••••••• S•••••••• L•• | M•••••• A••••• S••••••••• L•• | Dec 31, 2009 | Mar 18, 2010 | 77 | Firm change | Other |