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 C•••••• A••••••• S•••••••• L••
DALLAS, TX | Belmont, 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•••••• A••••••• S•••••••• L•• | Independent wealth | Oct 15, 2021 | n/a | yes | DALLAS, TX|Belmont, NC | Current employment |
| D•••••• L••• S••••• L•• | Former SEC adviser | Jul 22, 2019 | Oct 14, 2021 | no | ROME, GA|ROME, GA|Belmont, NC|Cornelius, NC |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| D•••••• L••• S••••• L•• | C•••••• A••••••• S•••••••• L•• | Oct 14, 2021 | Oct 15, 2021 | 1 | Firm change | RIA to RIA |
| K•••• M••••••••• | D•••••• L••• S••••• L•• | Jul 22, 2019 | Jul 22, 2019 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 133025:141238:FL:2019-07-22 | Jul 22, 2019 | Jul 22, 2019 | PONTE VEDRA BEACH, FL | Firm change |
| K•••• M••••••••• | Former SEC adviser | Jun 7, 2017 | Jul 22, 2019 | no | Belmont, NC|PONTE VEDRA BEACH, FL | Previous registration |
| S••••••••• A•••••• A•••••••• I••• | Former SEC adviser | Jun 18, 2013 | Oct 5, 2015 | no | HUNTERSVILLE, NC | Previous registration |
| T•• F•••••••• G••••• L•• | n/a | Sep 9, 2004 | Jun 3, 2013 | no | CHARLOTTE, NC|CHARLOTTE, NC | Previous registration |
| E•••••••• A•••••••• L•• | National bd RIA | Jan 14, 2003 | Sep 10, 2004 | no | CHARLOTTE, NC | Previous registration |
| U•• F•••••••• S••••••• I••• | Wirehouse | Apr 4, 2002 | Dec 17, 2002 | no | CHARLOTTE, NC | Previous registration |
| 0 |
| Firm change |
| Ibd to RIA |
| S••••••••• A•••••• A•••••••• I••• | K•••• M••••••••• | Oct 5, 2015 | Jun 7, 2017 | 611 | Firm change after gap | Other |
| T•• F•••••••• G••••• L•• | S••••••••• A•••••• A•••••••• I••• | Jun 3, 2013 | Jun 18, 2013 | 15 | Firm change | Other |
| E•••••••• A•••••••• L•• | T•• F•••••••• G••••• L•• | Sep 10, 2004 | Sep 9, 2004 | -1 | Firm change | Other |
| U•• F•••••••• S••••••• I••• | E•••••••• A•••••••• L•• | Dec 17, 2002 | Jan 14, 2003 | 28 | Firm change | Wirehouse to ibd |