DFX Intelligence
Reading the graph
Reading the graph
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Advisor at O•••• W•••••• I•••
SCOTTSDALE, 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 |
|---|---|---|---|---|---|---|
| O•••• W•••••• I••• | Bd affiliated wealth | Jan 19, 2024 | n/a | yes | SCOTTSDALE, AZ | Current employment |
| W••••••• F•••••••• S•••••••• I••• | Former SEC adviser | Jul 16, 2018 | Jan 19, 2024 | no | OAKDALE, MN | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| W••••••• F•••••••• S•••••••• I••• | O•••• W•••••• I••• | Jan 19, 2024 | Jan 19, 2024 | 0 | Bulk transfer | Ibd to ibd |
| T•••••••• I••••••••• M••••••••• I•• | W••••••• F•••••••• S•••••••• I••• | Aug 10, 2017 | Jul 16, 2018 |
| T•••••••• I••••••••• M••••••••• I•• | Asset manager | Mar 22, 2012 | Aug 10, 2017 | no | SANTA FE, NM | Previous registration |
| A••••••• A•••• M••••••••• I••• | Mixed wealth | Jan 24, 2011 | Jul 13, 2011 | no | MONUMENT, CO|BOERNE, TX | Previous registration |
| M•••••• I••••••••• F••• S••••••• L•• | n/a | Nov 8, 2004 | Jul 20, 2005 | no | DENVER, CO | Previous registration |
| 340 |
| Firm change |
| Other |
| A••••••• A•••• M••••••••• I••• | T•••••••• I••••••••• M••••••••• I•• | Jul 13, 2011 | Mar 22, 2012 | 253 | Firm change | Other |
| M•••••• I••••••••• F••• S••••••• L•• | A••••••• A•••• M••••••••• I••• | Jul 20, 2005 | Jan 24, 2011 | 2,014 | Firm change after gap | Other |