DFX Intelligence
Reading the graph
Reading the graph
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Advisor at S•••••••• I••••• G•••• L••
Chandler, 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 |
|---|---|---|---|---|---|---|
| S•••••••• I••••• G•••• L•• | Independent wealth | Nov 8, 2019 | n/a | yes | Chandler, AZ | Current employment |
| F••••••••• I••••••••• A••••••• L•• | Independent wealth | Jun 19, 2015 | Dec 3, 2018 | no | PHOENIX, AZ | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| F••••••••• I••••••••• A••••••• L•• | S•••••••• I••••• G•••• L•• | Dec 3, 2018 | Nov 8, 2019 | 340 | Firm change | RIA to RIA |
| S•• I••••••••• I••• | F••••••••• I••••••••• A••••••• L•• | Apr 13, 2015 | Jun 19, 2015 |
| S•• I••••••••• I••• | Former SEC adviser | Oct 3, 2013 | Apr 13, 2015 | no | SCOTTSDALE, AZ | Previous registration |
| U••• F•••••••• P••••••• S••••••• | Former SEC adviser | Apr 26, 2011 | Feb 20, 2013 | no | PHOENIX, AZ | Previous registration |
| R••••• W• B•••• • C•• I••••••••• | Mixed wealth | Jan 5, 2000 | Jun 8, 2006 | no | SCOTTSDALE, AZ | Previous registration |
| 67 |
| Firm change |
| Other |
| U••• F•••••••• P••••••• S••••••• | S•• I••••••••• I••• | Feb 20, 2013 | Oct 3, 2013 | 225 | Firm change | Other |
| R••••• W• B•••• • C•• I••••••••• | U••• F•••••••• P••••••• S••••••• | Jun 8, 2006 | Apr 26, 2011 | 1,783 | Firm change after gap | Other |