DFX Intelligence
Reading the graph
Reading the graph
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Advisor at S•••••••• A••••••• L••
PORTLAND, OR | TIGARD, OR
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 | TIGARD, OR|PORTLAND, OR | Current employment |
| F••••••• P••••••• A•• W•••••••• A••••••• | Former SEC adviser | Apr 17, 2023 | Mar 31, 2025 | no | TIGARD, OR |
| 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 |
| A•••• W••••• A••••••• | F••••••• P••••••• A•• W•••••••• A••••••• | Jul 20, 2022 | Apr 17, 2023 |
| A•••• W••••• A••••••• | Independent wealth | Aug 10, 2021 | Jul 20, 2022 | no | Lake Oswego, OR 97035, OR|BELLEVUE, WA | Previous registration |
| E•••••••• A•••••••• L•• | National bd RIA | Jul 14, 2017 | Aug 23, 2021 | no | Corvallis, OR|PORTLAND, OR|PORTLAND, OR|PORTLAND, OR | Previous registration |
| 271 |
| Firm change |
| RIA to ibd |
| E•••••••• A•••••••• L•• | A•••• W••••• A••••••• | Aug 23, 2021 | Aug 10, 2021 | -13 | Firm change | Ibd to RIA |