DFX Intelligence
Reading the graph
Reading the graph
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Advisor at C•••••• S••••• • C••• I•••
Indianapolis, IN | Salt Lake City, UT
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•••••• S••••• • C••• I••• | National bd RIA | May 28, 2020 | n/a | yes | Salt Lake City, UT|Indianapolis, IN | Current employment |
| U••• I••••••••• S••••••• C•••••• | No RAUM reported | Jan 8, 2018 | May 24, 2020 | no | SAN ANTONIO, TX|SAN ANTONIO, TX |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| U••• I••••••••• S••••••• C•••••• | C•••••• S••••• • C••• I••• | May 24, 2020 | May 28, 2020 | 4 | Bulk transfer | Ibd to ibd |
| U••• F•••••••• P••••••• S••••••• | U••• I••••••••• S••••••• C•••••• | Jan 8, 2018 | Jan 8, 2018 |
| U••• F•••••••• P••••••• S••••••• | Former SEC adviser | Jul 29, 2016 | Jan 8, 2018 | no | SAN ANTONIO, TX | Previous registration |
| A••••••• A•••• M••••••••• I••• | Mixed wealth | May 28, 2008 | Aug 18, 2015 | no | BOERNE, TX | Previous registration |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Wirehouse | Apr 18, 1996 | May 29, 2008 | no | SAN ANTONIO, TX|FREDERICKSBURG, TX | Previous registration |
| 0 |
| Bulk transfer |
| Other |
| A••••••• A•••• M••••••••• I••• | U••• F•••••••• P••••••• S••••••• | Aug 18, 2015 | Jul 29, 2016 | 346 | Firm change | Other |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | A••••••• A•••• M••••••••• I••• | May 29, 2008 | May 28, 2008 | -1 | Firm change | Other |