DFX Intelligence
Reading the graph
Reading the graph
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Advisor at R••• W••••• 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 |
|---|---|---|---|---|---|---|
| R••• W••••• L•• | Mixed wealth | Oct 1, 2024 | n/a | yes | PHOENIX, AZ|ALBUQUERQUE, NM|Salem, OR | Current employment |
| A•••••• A••••••• S••••••• | Former SEC adviser | Oct 25, 2019 | Sep 30, 2024 | no | IRVING, TX | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| A•••••• A••••••• S••••••• | R••• W••••• L•• | Sep 30, 2024 | Oct 1, 2024 | 1 | Firm change | Ibd to RIA |
| 1•• G••••• A••••••• I•• | A•••••• A••••••• S••••••• | Oct 25, 2019 | Oct 25, 2019 |
| 1•• G••••• A••••••• I•• | Former SEC adviser | Feb 1, 2018 | Oct 25, 2019 | no | PHOENIX, AZ | Previous registration |
| A••••••• F•••••••• A•••••••• L•• | Bd affiliated wealth | Jun 15, 2017 | Jan 12, 2018 | no | Cave Creek, AZ | Previous registration |
| S•••••••• A••••••• L•• | National bd RIA | Feb 24, 2015 | Jan 19, 2017 | no | SCOTTSDALE, AZ | Previous registration |
| C•••••• S••••• • C••• I••• | National bd RIA | Jun 3, 2013 | Feb 6, 2015 | no | Peoria, AZ|PRESCOTT, AZ|Bellevue, WA|Prescott, AZ | Previous registration |
| B••• O• A•••••• I••••••••• S•••••••• I••• | n/a | Oct 17, 2003 | May 25, 2005 | no | LAS VEGAS, NV | Previous registration |
| W•••• F•••• I••••••••• L•• | n/a | Oct 24, 2002 | Nov 14, 2003 | no | LAS VEGAS, NV | Previous registration |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Wirehouse | Apr 17, 2000 | Oct 23, 2002 | no | LAS VEGAS, NV | Previous registration |
| 0 |
| Bulk transfer |
| Ibd to ibd |
| A••••••• F•••••••• A•••••••• L•• | 1•• G••••• A••••••• I•• | Jan 12, 2018 | Feb 1, 2018 | 20 | Firm change | Other |
| S•••••••• A••••••• L•• | A••••••• F•••••••• A•••••••• L•• | Jan 19, 2017 | Jun 15, 2017 | 147 | Firm change | Other |
| C•••••• S••••• • C••• I••• | S•••••••• A••••••• L•• | Feb 6, 2015 | Feb 24, 2015 | 18 | Firm change | Ibd to ibd |
| B••• O• A•••••• I••••••••• S•••••••• I••• | C•••••• S••••• • C••• I••• | May 25, 2005 | Jun 3, 2013 | 2,931 | Firm change after gap | Other |
| W•••• F•••• I••••••••• L•• | B••• O• A•••••• I••••••••• S•••••••• I••• | Nov 14, 2003 | Oct 17, 2003 | -28 | Firm change | Other |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | W•••• F•••• I••••••••• L•• | Oct 23, 2002 | Oct 24, 2002 | 1 | Firm change | Other |