DFX Intelligence
Reading the graph
Reading the graph
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Advisor at C••••• I••••••••• A••••••• L••
Mills River, 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 |
|---|---|---|---|---|---|---|
| C••••• I••••••••• A••••••• L•• | Bd affiliated wealth | Sep 5, 2025 | n/a | yes | Mills River, NC | Current employment |
| A•••••• A••••••• S••••••• | Former SEC adviser | Oct 25, 2019 | Sep 5, 2025 | no | WINTER PARK, FL|MILLS RIVER, NC |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| A•••••• A••••••• S••••••• | C••••• I••••••••• A••••••• L•• | Sep 5, 2025 | Sep 5, 2025 | 0 | Bulk transfer | Ibd to ibd |
| 1•• G••••• A••••••• I•• | A•••••• A••••••• S••••••• | Oct 25, 2019 | Oct 25, 2019 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 108249:111133:FL:2018-09-04 | Sep 4, 2018 | Jun 27, 2018 | LONGWOOD, FL | Firm change after gap |
| 1•• G••••• A••••••• I•• | Former SEC adviser | Jun 27, 2018 | Oct 25, 2019 | no | Winter Park, FL | Previous registration |
| T•••••• E••••••••• • P••••••••• I••• | Institutional manager | Jul 23, 2003 | Sep 4, 2018 | no | WINTER PARK, FL|WINTER PARK, FL|LONGWOOD, FL | Previous registration |
| 0 |
| Bulk transfer |
| Ibd to ibd |
| T•••••• E••••••••• • P••••••••• I••• | 1•• G••••• A••••••• I•• | Sep 4, 2018 | Jun 27, 2018 | -69 | Firm change after gap | Other |