DFX Intelligence
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Reading the graph
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Advisor at S• C••••••
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 |
|---|---|---|---|---|---|---|
| S• C•••••• | Independent wealth | Nov 16, 2023 | n/a | yes | SCOTTSDALE, AZ | Current employment |
| F••••••••• I••••••••• A••••••• L•• | Independent wealth | May 11, 2022 | Mar 1, 2024 | no | PHOENIX, AZ|Scottsdale, AZ | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| F••••••••• I••••••••• A••••••• L•• | S• C•••••• | Mar 1, 2024 | Nov 16, 2023 | -106 | Firm change after gap | RIA to new firm |
| F•••• F•••••••• E••••• C••••••••• | F••••••••• I••••••••• A••••••• L•• | Apr 22, 2022 | May 11, 2022 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 175083:328450:AZ:2024-03-01 | Mar 1, 2024 | Nov 16, 2023 | SCOTTSDALE, AZ | Firm change after gap |
| 16507:175083:AZ:2022-04-22 | Apr 22, 2022 | May 11, 2022 | SCOTTSDALE, AZ | Firm change |
| F•••• F•••••••• E••••• C••••••••• | Former SEC adviser | Apr 22, 2016 | Apr 22, 2022 | no | SCOTTSDALE, AZ|SCOTTSDALE, AZ | Previous registration |
| R•••••• J•••• • A••••••••• I••• | National bd RIA | Jun 26, 2014 | Apr 18, 2016 | no | SCOTTSDALE, AZ | Previous registration |
| A••••• T••••• P•••••• W••••• | Independent wealth | Jun 16, 2010 | Jul 18, 2014 | no | SCOTTSDALE, AZ | Previous registration |
| T•• P••••••• G•••• | Former SEC adviser | Jun 2, 2008 | Mar 28, 2011 | no | SCOTTSDALE, AZ | Previous registration |
| G••••• F•••••••• P•••••• C••••••• I••• | Former SEC adviser | Nov 14, 2006 | Jun 17, 2008 | no | SCOTTSDALE, AZ|SARASOTA, FL | Previous registration |
| 19 |
| Firm change |
| Ibd to RIA |
| R•••••• J•••• • A••••••••• I••• | F•••• F•••••••• E••••• C••••••••• | Apr 18, 2016 | Apr 22, 2016 | 4 | Firm change | Other |
| A••••• T••••• P•••••• W••••• | R•••••• J•••• • A••••••••• I••• | Jul 18, 2014 | Jun 26, 2014 | -22 | Firm change | Other |
| T•• P••••••• G•••• | A••••• T••••• P•••••• W••••• | Mar 28, 2011 | Jun 16, 2010 | -285 | Firm change after gap | Other |
| G••••• F•••••••• P•••••• C••••••• I••• | T•• P••••••• G•••• | Jun 17, 2008 | Jun 2, 2008 | -15 | Firm change | Other |