DFX Intelligence
Reading the graph
Reading the graph
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Advisor at W••• F•••••••• S•••••••• I•••
STUART, 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 |
|---|---|---|---|---|---|---|
| W••• F•••••••• S•••••••• I••• | State registered | Jul 12, 2017 | n/a | yes | STUART, FL | Current employment |
| A•••••••• R••••••••• G•••• | Former SEC adviser | Sep 14, 2011 | Oct 17, 2017 | no | FORT MYERS, FL|STUART, FL|Palm Beach Gardens, FL |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| A•••••••• R••••••••• G•••• | W••• F•••••••• S•••••••• I••• | Oct 17, 2017 | Jul 12, 2017 | -97 | Firm change after gap | RIA to state RIA |
| G••••• F•••••••• P•••••• C••••••• I••• | A•••••••• R••••••••• G•••• | Aug 24, 2011 | Sep 14, 2011 |
| A•••••••• R••••••••• G•••• | Former SEC adviser | Sep 14, 2011 | Dec 31, 2011 | no | STUART, FL|FORT MYERS, FL|STUART, FL | Previous registration |
| G••••• F•••••••• P•••••• C••••••• I••• | Former SEC adviser | Aug 23, 2011 | Aug 24, 2011 | no | PORT ST. LUCIE, FL|SARASOTA, FL | Previous registration |
| 21 |
| Firm change |
| Other |