DFX Intelligence
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Reading the graph
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Advisor at D•••••••• A••••••• S•••••••• L••
SOUTH JORDAN, UT | LEWES, DE
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 |
|---|---|---|---|---|---|---|
| D•••••••• A••••••• S•••••••• L•• | Bd affiliated wealth | Sep 25, 2023 | n/a | yes | SOUTH JORDAN, UT|LEWES, DE | Current employment |
| D••• I••••••••• L•• | Former SEC adviser | Jan 12, 2023 | Jan 2, 2024 | no | Lewes, DE|SOUTH JORDAN, UT |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| D••• I••••••••• L•• | D•••••••• A••••••• S•••••••• L•• | Jan 2, 2024 | Sep 25, 2023 | -99 | Firm change after gap | RIA to ibd |
| C•• A•••••••• L•• | D••• I••••••••• L•• | Jan 10, 2023 | Jan 12, 2023 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 155576:326060:UT:2023-12-31 | Jan 2, 2024 | Sep 25, 2023 | SOUTH JORDAN, UT | Firm change after gap |
| 123608:299923:CA:2019-05-08 | May 8, 2019 | Apr 26, 2019 | SAN DIEGO, CA | Firm change |
| C•• A•••••••• L•• | Independent wealth | Apr 26, 2019 | Jan 10, 2023 | no | OCEAN PINES, MD | Previous registration |
| S•• I••••••••• A•••••••• I••• | Former SEC adviser | Oct 5, 2018 | May 8, 2019 | no | OCEAN PINES, MD|SAN DIEGO, CA | Previous registration |
| 2 |
| Firm change |
| RIA to RIA |
| S•• I••••••••• A•••••••• I••• | C•• A•••••••• L•• | May 8, 2019 | Apr 26, 2019 | -12 | Firm change | Ibd to RIA |