DFX Intelligence
Reading the graph
Reading the graph
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Advisor at A••••••••• F•••••••• S•••••••• L••
••• Locked
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 |
|---|---|---|---|---|---|---|
| A••••••••• F•••••••• S•••••••• L•• | National bd RIA | Oct 26, 2018 | n/a | yes | Olympia, WA|Tacoma, WA|University Place, WA | Current employment |
| F•••••••• A•••••••• I••••••••• M••••••••• | Former SEC adviser | Dec 21, 2012 | Nov 1, 2018 | no | OLYMPIA, WA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| F•••••••• A•••••••• I••••••••• M••••••••• | A••••••••• F•••••••• S•••••••• L•• | Nov 1, 2018 | Oct 26, 2018 | -6 | Firm change | RIA to ibd |
| L•• F•••••••• L•• | F•••••••• A•••••••• I••••••••• M••••••••• | Mar 27, 2013 | Dec 21, 2012 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 151298:6363:WA:2018-11-01 | Nov 1, 2018 | Oct 26, 2018 | OLYMPIA, WA | Firm change |
| L•• F•••••••• L•• | Bd affiliated wealth | May 9, 2007 | Mar 27, 2013 | no | LOUISVILLE, KY|FORT MILL, SC|TACOMA, WA | Previous registration |
| O•••• F•• I••• | Former SEC adviser | Feb 10, 2003 | May 22, 2007 | no | LOUISVILLE, KY|LOUISVILLE, KY | Previous registration |
| -96 |
| Firm change after gap |
| Other |
| O•••• F•• I••• | L•• F•••••••• L•• | May 22, 2007 | May 9, 2007 | -13 | Firm change | Other |