DFX Intelligence
Reading the graph
Reading the graph
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Advisor at F••••••••• F••••••• L••
TUCSON, AZ
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 |
|---|---|---|---|---|---|---|
| F••••••••• F••••••• L•• | State registered | Feb 17, 2021 | n/a | yes | TUCSON, AZ | Current employment |
| O••••• I••••••••• A••••••• L•• | Independent wealth | Jul 15, 2021 | Apr 2, 2025 | no | HENDERSON, NV|SCOTTSDALE, AZ|SARASOTA, FL|THOUSAND OAKS, CA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| O••••• I••••••••• A••••••• L•• | n/a | Apr 2, 2025 | n/a | n/a | Departure no registered destination | Departure |
| W•••••• I••••••••• S••••••••• | F••••••••• F••••••• L•• | Mar 1, 2019 | Feb 17, 2021 | 719 |
| W•••••• I••••••••• S••••••••• | Former SEC adviser | Jun 15, 2017 | Mar 1, 2019 | no | Santa Rosa, CA|Pasadena, CA|Thousand Oaks, CA | Previous registration |
| L••••••• W••••• M••••••••• G••••• L•• | Former SEC adviser | Feb 17, 2016 | Mar 13, 2017 | no | Las Vegas, NV|CHESTERTON, IN | Previous registration |
| Firm change after gap |
| RIA to state RIA |
| L••••••• W••••• M••••••••• G••••• L•• | W•••••• I••••••••• S••••••••• | Mar 13, 2017 | Jun 15, 2017 | 94 | Firm change | Other |