DFX Intelligence
Reading the graph
Reading the graph
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Advisor at L••••••• A•••••••• L••
BLUFFTON, SC
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 |
|---|---|---|---|---|---|---|
| L••••••• A•••••••• L•• | State registered | Jul 16, 2025 | n/a | yes | BLUFFTON, SC | Current employment |
| L•••••••• A•••••••• L•• | Independent wealth | Dec 17, 2021 | Dec 21, 2023 | no | GRAND RAPIDS, MI|Bluffton, SC |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| L•••••••• A•••••••• L•• | L••••••• A•••••••• L•• | Dec 21, 2023 | Jul 16, 2025 | 573 | Firm change after gap | RIA to state RIA |
| E••••••••• W••••• M••••••••• L•• | L•••••••• A•••••••• L•• | Apr 25, 2022 | Dec 17, 2021 |
| E••••••••• W••••• M••••••••• L•• | n/a | May 8, 2020 | Apr 25, 2022 | no | BLUFFTON, SC | Previous registration |
| C•• W••••• M••••••••• L•• | State registered | Dec 21, 2016 | May 22, 2020 | no | BLUFFTON, SC|STATESBORO, GA|STATESBORO, GA | Previous registration |
| I••••• F•••••••• C••••••••• | Former SEC adviser | Feb 10, 2009 | Oct 28, 2016 | no | BEAUFORT, SC|BLUFFTON, SC | Previous registration |
| O•••• F•• I••• | Former SEC adviser | Dec 21, 2007 | Apr 18, 2008 | no | OWENSBORO, KY | Previous registration |
| M•• F•••••••• S•••••••• I••• | Former SEC adviser | Jun 22, 2005 | Mar 16, 2007 | no | ATLANTA, GA|ATLANTA, GA | Previous registration |
| C••••• A•••••• N••••••• L•• | Former SEC adviser | Jan 21, 2004 | Dec 31, 2004 | no | ATLANTA, GA | Previous registration |
| F•••••••• N•••••• C••• | n/a | Nov 18, 2003 | Feb 8, 2005 | no | ATLANTA, GA | Previous registration |
| A••••••••• F•••••••• S•••••••• L•• | National bd RIA | Feb 20, 2003 | Apr 30, 2003 | no | MARIETTA, GA | Previous registration |
| -129 |
| Firm change after gap |
| Other |
| C•• W••••• M••••••••• L•• | E••••••••• W••••• M••••••••• L•• | May 22, 2020 | May 8, 2020 | -14 | Firm change | Other |
| I••••• F•••••••• C••••••••• | C•• W••••• M••••••••• L•• | Oct 28, 2016 | Dec 21, 2016 | 54 | Firm change | Other |
| O•••• F•• I••• | I••••• F•••••••• C••••••••• | Apr 18, 2008 | Feb 10, 2009 | 298 | Firm change | Other |
| M•• F•••••••• S•••••••• I••• | O•••• F•• I••• | Mar 16, 2007 | Dec 21, 2007 | 280 | Firm change | Other |
| F•••••••• N•••••• C••• | C••••• A•••••• N••••••• L•• | Feb 8, 2005 | Jan 21, 2004 | -384 | Firm change after gap | Other |
| C••••• A•••••• N••••••• L•• | M•• F•••••••• S•••••••• I••• | Dec 31, 2004 | Jun 22, 2005 | 173 | Firm change | Other |
| A••••••••• F•••••••• S•••••••• L•• | F•••••••• N•••••• C••• | Apr 30, 2003 | Nov 18, 2003 | 202 | Firm change | Other |