DFX Intelligence
Reading the graph
Reading the graph
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Advisor at S••••• W••••• A••••••• L••
BOCA RATON, 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••••• W••••• A••••••• L•• | Independent wealth | Nov 30, 2021 | n/a | yes | BOCA RATON, FL | Current employment |
| I••••••••• A••••••• S••••••• I•• | Former SEC adviser | Jul 15, 2016 | Apr 19, 2018 | no | Boca Raton, FL | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| S••••• W••••• A••••••• I••• | I••••••••• A••••••• S••••••• I•• | Mar 1, 2022 | Jul 15, 2016 | -2,055 | Firm change after gap | Other |
| I••••••••• A••••••• S••••••• I•• | S••••• W••••• A••••••• L•• | Apr 19, 2018 | Nov 30, 2021 |
| S••••• W••••• A••••••• I••• | Former SEC adviser | Jun 4, 2014 | Mar 1, 2022 | no | BOCA RATON, FL|Aventura, FL | Previous registration |
| F•••••••• A••••••• G•••• L••••• | Independent wealth | Nov 2, 2006 | Jan 29, 2015 | no | GIG HARBOR, WA | Previous registration |
| M•• F•••••••• S•••••••• I••• | Former SEC adviser | Apr 10, 2001 | Aug 1, 2002 | no | BOCA RATON, FL | Previous registration |
| 1,321 |
| Firm change after gap |
| Ibd to RIA |
| F•••••••• A••••••• G•••• L••••• | S••••• W••••• A••••••• I••• | Jan 29, 2015 | Jun 4, 2014 | -239 | Firm change after gap | Other |
| M•• F•••••••• S•••••••• I••• | F•••••••• A••••••• G•••• L••••• | Aug 1, 2002 | Nov 2, 2006 | 1,554 | Firm change after gap | Other |