DFX Intelligence
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Reading the graph
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Advisor at S••••••• C•••••• M••••••••• L••
Charlotte, NC
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••••••• C•••••• M••••••••• L•• | Other adviser | Jul 28, 2016 | n/a | yes | Charlotte, NC | Current employment |
| C••••••• M••••••••• I••••••••• A•••••••• L•• | Asset manager | May 1, 2010 | Jun 23, 2016 | no | MINNEAPOLIS, MN|CHARLESTON, SC|BOSTON, MA|JOHNS CREEK, GA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| C••••••• M••••••••• I••••••••• A•••••••• L•• | S••••••• C•••••• M••••••••• L•• | Jun 23, 2016 | Jul 28, 2016 | 35 | Firm change | Other |
| B••• A•••••••• L•• | C••••••• M••••••••• I••••••••• A•••••••• L•• | May 1, 2010 | May 1, 2010 |
| B••• A•••••••• L•• | Former SEC adviser | Apr 12, 2005 | May 1, 2010 | no | CHARLOTTE, NC|OVERLAND PARK, KS | Previous registration |
| C••••••• M••••••••• A•••••••• I••• | n/a | Sep 1, 2004 | Apr 12, 2005 | no | BOSTON, MA | Previous registration |
| 0 |
| Bulk transfer |
| Other |
| C••••••• M••••••••• A•••••••• I••• | B••• A•••••••• L•• | Apr 12, 2005 | Apr 12, 2005 | 0 | Firm change | Other |