DFX Intelligence
Reading the graph
Reading the graph
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Advisor at C••••• I••••••••• A••••••• L••
SUNRISE, 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 |
|---|---|---|---|---|---|---|
| C••••• I••••••••• A••••••• L•• | Bd affiliated wealth | Sep 8, 2025 | n/a | yes | SUNRISE, FL | Current employment |
| L•• F•••••••• L•• | Bd affiliated wealth | May 19, 2022 | Oct 30, 2025 | no | Margate, FL|Ft Lauderdale, FL|Pembroke Pines, FL|MIRAMAR, FL|WEST PALM BEACH, FL |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| L•• F•••••••• L•• | C••••• I••••••••• A••••••• L•• | Oct 30, 2025 | Sep 8, 2025 | -52 | Firm change after gap | Ibd to ibd |
| C••• B•••••••• S•••••••• I••• | L•• F•••••••• L•• | May 24, 2022 | May 19, 2022 |
| C••• B•••••••• S•••••••• I••• | Former SEC adviser | Jun 1, 2021 | May 24, 2022 | no | Margate, FL|Ft Lauderdale, FL|Pembroke Pines, FL|WAVERLY, IA | Previous registration |
| W••••• W•••• A•••••••• I•• | Independent wealth | Sep 23, 2020 | May 24, 2021 | no | Boca Raton, FL | Previous registration |
| W•••• F•••• A••••••• | Wirehouse | Aug 19, 2015 | Apr 8, 2020 | no | BALTIMORE, MD|MANCHESTER, NH|COLUMBIA, SC|WEST COLUMBIA, SC|COLUMBIA, MD|ELDERSBURG, MD|GREENVILLE, SC|CAYCE, SC | Previous registration |
| P•••• S••••••••• L•• | No RAUM reported | Mar 4, 2015 | Jul 10, 2015 | no | North Bethesda, MD|Hunt Valley, MD | Previous registration |
| E•••••••• A•••••••• L•• | National bd RIA | Feb 13, 2015 | Feb 20, 2015 | no | OWINGS MILLS, MD|COLUMBIA, MD|COLUMBIA, MD | Previous registration |
| B••• O• A•••••• I••••••••• S•••••••• I••• | n/a | Oct 20, 2004 | Mar 18, 2005 | no | CHARLOTTE, NC | Previous registration |
| Q•••• • R•••••• I••• | n/a | Jun 18, 2004 | Oct 20, 2004 | no | CHARLOTTE, NC | Previous registration |
| -5 |
| Bulk transfer |
| Ibd to RIA |
| W••••• W•••• A•••••••• I•• | C••• B•••••••• S•••••••• I••• | May 24, 2021 | Jun 1, 2021 | 8 | Firm change | RIA to ibd |
| W•••• F•••• A••••••• | W••••• W•••• A•••••••• I•• | Apr 8, 2020 | Sep 23, 2020 | 168 | Firm change | Wirehouse to RIA |
| P•••• S••••••••• L•• | W•••• F•••• A••••••• | Jul 10, 2015 | Aug 19, 2015 | 40 | Firm change | Other |
| E•••••••• A•••••••• L•• | P•••• S••••••••• L•• | Feb 20, 2015 | Mar 4, 2015 | 12 | Firm change | Other |
| B••• O• A•••••• I••••••••• S•••••••• I••• | E•••••••• A•••••••• L•• | Mar 18, 2005 | Feb 13, 2015 | 3,619 | Firm change after gap | Other |
| Q•••• • R•••••• I••• | B••• O• A•••••• I••••••••• S•••••••• I••• | Oct 20, 2004 | Oct 20, 2004 | 0 | Bulk transfer | Other |