DFX Intelligence
Reading the graph
Reading the graph
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Advisor at U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••
NEWPORT, WA | 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 |
|---|---|---|---|---|---|---|
| U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• | Independent wealth | Feb 24, 2022 | n/a | yes | SCOTTSDALE, AZ|NEWPORT, WA | Current employment |
| F•••• F•••••••• E••••• C••••••••• | Former SEC adviser | Jan 27, 2011 | Mar 1, 2022 | no | NEWPORT, WA|SCOTTSDALE, AZ|SCOTTSDALE, AZ|SCOTTSDALE, AZ|Newport, WA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| F•••• F•••••••• E••••• C••••••••• | U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• | Mar 1, 2022 | Feb 24, 2022 | -5 | Firm change | Ibd to RIA |
| P••••••••• A••••••• S••••••• L•• | F•••• F•••••••• E••••• C••••••••• | Feb 22, 2011 |
| Previous registration |
| P••••••••• A••••••• S••••••• L•• | Former SEC adviser | Apr 7, 2004 | Feb 22, 2011 | no | SANTA BARBARA, CA|SPOKANE, WA | Previous registration |
| W••••• A•••• M••••••• | Independent wealth | Mar 6, 1997 | Feb 26, 2004 | no | SPOKANE, WA | Previous registration |
| -26 |
| Firm change |
| Other |
| W••••• A•••• M••••••• | P••••••••• A••••••• S••••••• L•• | Feb 26, 2004 | Apr 7, 2004 | 41 | Firm change | Other |