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 S•••••••• A••••••• L••
WINTER PARK, FL
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•••••••• A••••••• L•• | National bd RIA | Mar 31, 2025 | n/a | yes | WINTER PARK, FL | Current employment |
| F••••••• P••••••• A•• W•••••••• A••••••• | Former SEC adviser | Sep 7, 2022 | Mar 31, 2025 | no | WINTER PARK, FL |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| F••••••• P••••••• A•• W•••••••• A••••••• | S•••••••• A••••••• L•• | Mar 31, 2025 | Mar 31, 2025 | 0 | Bulk transfer | Ibd to ibd |
| N••• F•••••• I••••••••• S•••••••• L•• | N••• F•••••• A•••• M••••••••• L•• | Dec 2, 2020 | Sep 8, 2007 |
| N••• F•••••• A•••• M••••••••• L•• | Former SEC adviser | Sep 8, 2007 | Jan 4, 2017 | no | HERNDON, VA|WINTER PARK, FL|VIENNA, VA | Previous registration |
| N••• F•••••• I••••••••• S•••••••• L•• | Bd affiliated wealth | Apr 23, 2007 | Dec 2, 2020 | no | Vienna, VA|WINTER PARK, FL|VIENNA, VA | Previous registration |
| M••••• S•••••• D• I••• | n/a | Aug 19, 2005 | Jun 7, 2006 | no | EUSTICE, FL | Previous registration |
| -4,834 |
| Firm change after gap |
| Other |
| N••• F•••••• A•••• M••••••••• L•• | F••••••• P••••••• A•• W•••••••• A••••••• | Jan 4, 2017 | Sep 7, 2022 | 2,072 | Firm change after gap | Other |
| M••••• S•••••• D• I••• | N••• F•••••• I••••••••• S•••••••• L•• | Jun 7, 2006 | Apr 23, 2007 | 320 | Firm change | Other |