DFX Intelligence
Reading the graph
Reading the graph
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Advisor at L••••••• W••••• M••••••••• G••••• L••
LAKE OSWEGO, OR
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 |
|---|---|---|---|---|---|---|
| L••••••• W••••• M••••••••• G••••• L•• | Independent wealth | Mar 29, 2018 | n/a | yes | LAKE OSWEGO, OR | Current employment |
| C••••• A••••••• L•• | Former SEC adviser | Feb 28, 2012 | Apr 10, 2018 | no | LAKE OSWEGO, OR|GREENWOOD VILLAGE, CO|PORTLAND, OR |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| C••••• A••••••• L•• | L••••••• W••••• M••••••••• G••••• L•• | Apr 10, 2018 | Mar 29, 2018 | -12 | Firm change | Ibd to RIA |
| P•••••• W••• F•••••••• C••••••••• I•• | C••••• A••••••• L•• | Feb 28, 2012 | Feb 28, 2012 |
| P•••••• W••• F•••••••• C••••••••• I•• | Former SEC adviser | Nov 10, 2008 | Feb 28, 2012 | no | RENTON, WA | Previous registration |
| W•••• F•••• I••••••••• L•• | n/a | Sep 18, 2008 | Oct 31, 2008 | no | HILLSBORO, OR|BEAVERTON, OR|BEAVERTON, OR | Previous registration |
| 0 |
| Bulk transfer |
| Other |
| W•••• F•••• I••••••••• L•• | P•••••• W••• F•••••••• C••••••••• I•• | Oct 31, 2008 | Nov 10, 2008 | 10 | Firm change | Other |