DFX Intelligence
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Reading the graph
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Advisor at S••••••••• W•••••
East Wenatchee, WA | SUMMIT, NJ
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 |
|---|---|---|---|---|---|---|
| S••••••••• W••••• | Mixed wealth | Feb 19, 2025 | n/a | yes | East Wenatchee, WA|SUMMIT, NJ | Current employment |
| L•••••• A•••• M••••••••• | Former SEC adviser | Aug 2, 2024 | Feb 14, 2025 | no | SAN DIEGO, CA|East Wenatchee, WA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| L•••••• A•••• M••••••••• | S••••••••• W••••• | Feb 14, 2025 | Feb 19, 2025 | 5 | Bulk transfer | Other |
| S••••• M••••••••• | L•••••• A•••• M••••••••• | Oct 18, 2024 | Aug 2, 2024 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 141253:127145:CA:2016-12-27 | Jan 3, 2017 | Sep 26, 2016 | SAN JOSE, CA | Firm change after gap |
| S••••• M••••••••• | Independent wealth | Sep 26, 2016 | Oct 18, 2024 | no | Port Orchard, WA|NORTH LITTLE ROCK, AR|Gig Harbor, WA|Wenatchee, WA|East Wenatchee, WA | Previous registration |
| C•••••• W••••• M••••••••• | Former SEC adviser | Sep 3, 2015 | Jan 3, 2017 | no | PORT OAKLAND, WA|SAN JOSE, CA | Previous registration |
| M••••• S•••••• | Wirehouse | Jun 1, 2009 | Sep 24, 2015 | no | Seattle, WA|Silverdale, WA | Previous registration |
| C•••••••• G••••• M•••••• I••• | Bd affiliated wealth | Feb 22, 2008 | Jun 1, 2009 | no | SEATTLE, WA | Previous registration |
| W•••• F•••• I••••••••• L•• | n/a | Mar 28, 2003 | Feb 25, 2008 | no | SEATTLE, WA|SEATTLE, WA | Previous registration |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Wirehouse | Aug 13, 1999 | Apr 3, 2003 | no | BELLEVUE, WA | Previous registration |
| Firm change after gap |
| RIA to RIA |
| C•••••• W••••• M••••••••• | S••••• M••••••••• | Jan 3, 2017 | Sep 26, 2016 | -99 | Firm change after gap | Other |
| M••••• S•••••• | C•••••• W••••• M••••••••• | Sep 24, 2015 | Sep 3, 2015 | -21 | Firm change | Other |
| C•••••••• G••••• M•••••• I••• | M••••• S•••••• | Jun 1, 2009 | Jun 1, 2009 | 0 | Bulk transfer | Other |
| W•••• F•••• I••••••••• L•• | C•••••••• G••••• M•••••• I••• | Feb 25, 2008 | Feb 22, 2008 | -3 | Firm change | Other |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | W•••• F•••• I••••••••• L•• | Apr 3, 2003 | Mar 28, 2003 | -6 | Firm change | Other |