DFX Intelligence
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Advisor at T•••• W•••••
WEST DES MOINES, IA
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 |
|---|---|---|---|---|---|---|
| T•••• W••••• | State registered | Oct 4, 2023 | n/a | yes | WEST DES MOINES, IA | Current employment |
| I•••••••• W••••• M••••••••• L•• | State registered | May 15, 2019 | Mar 31, 2024 | no | WAUKEE, IA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| I•••••••• W••••• M••••••••• L•• | T•••• W••••• | Mar 31, 2024 | Oct 4, 2023 | -179 | Firm change after gap | Other |
| R•••• F••• M••••••••• L•• | I•••••••• W••••• M••••••••• L•• | May 20, 2019 | May 15, 2019 |
| R•••• F••• M••••••••• L•• |
| Independent wealth |
| Sep 6, 2016 |
| May 20, 2019 |
| no |
| WEST DES MOINES, IA|LADY LAKE, FL|West Des Moines, IA|West Des Moines, IA |
| Previous registration |
| H••••• I••••••••• M••••••••• L•• | Independent wealth | May 4, 2016 | Aug 18, 2016 | no | West Des Moines, IA|CINCINNATI, OH|West Des Moines, IA | Previous registration |
| R•••• F••• M••••••••• L•• | Independent wealth | Feb 26, 2016 | Apr 21, 2016 | no | West Des Moines, IA|LADY LAKE, FL | Previous registration |
| -5 |
| Firm change |
| RIA to state RIA |
| H••••• I••••••••• M••••••••• L•• | R•••• F••• M••••••••• L•• | Aug 18, 2016 | Sep 6, 2016 | 19 | Firm change | Other |
| R•••• F••• M••••••••• L•• | H••••• I••••••••• M••••••••• L•• | Apr 21, 2016 | May 4, 2016 | 13 | Firm change | Other |