DFX Intelligence
Reading the graph
Reading the graph
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Advisor at O•••• W•••••• I•••
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 |
|---|---|---|---|---|---|---|
| O•••• W•••••• I••• | Bd affiliated wealth | Dec 19, 2025 | n/a | yes | SCOTTSDALE, AZ | Current employment |
| F•• S••••••••• C••••••••• | Former SEC adviser | Jan 11, 2022 | Nov 3, 2023 | no | ATLANTA, GA|TRINITY, FL|HUDSON, FL |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| F•• S••••••••• C••••••••• | O•••• W•••••• I••• | Nov 3, 2023 | Dec 19, 2025 | 777 | Bulk transfer | Ibd to ibd |
| M•• I•••••••• S•••••••• L•• | F•• S••••••••• C••••••••• | Jan 6, 2022 | Jan 11, 2022 |
| M•• I•••••••• S•••••••• L•• | Bd affiliated wealth | Sep 22, 2021 | Jan 6, 2022 | no | TAMPA, FL | Previous registration |
| S••• G••••• I••••••••• L•• | Other adviser | Nov 14, 2017 | Oct 4, 2019 | no | TAMPA, FL|DURANGO, CO | Previous registration |
| I••••• F•••••••• C••••••••• | Former SEC adviser | Jun 2, 2016 | Feb 22, 2017 | no | APPLETON, WI | Previous registration |
| M•• F•••••••• S•••••••• I••• | Former SEC adviser | Oct 22, 2013 | Jan 30, 2015 | no | NEW PORT RITCHEY, FL|SPRINGFIELD, MA|CHARLOTTE, NC | Previous registration |
| L•• F•••••••• L•• | Bd affiliated wealth | Jun 22, 2007 | Nov 5, 2012 | no | SAN DIEGO, CA | Previous registration |
| K••••••• I••••••••• C••••••• I••• | n/a | Jul 11, 2006 | Dec 31, 2006 | no | PALO ALTO, CA|PALO ALTO, CA | Previous registration |
| W•••••• R• H•••• • C•• | n/a | Sep 12, 2001 | Mar 17, 2003 | no | ST.PETERSBURG, FL | Previous registration |
| 5 |
| Firm change |
| Ibd to ibd |
| S••• G••••• I••••••••• L•• | M•• I•••••••• S•••••••• L•• | Oct 4, 2019 | Sep 22, 2021 | 719 | Firm change after gap | RIA to ibd |
| I••••• F•••••••• C••••••••• | S••• G••••• I••••••••• L•• | Feb 22, 2017 | Nov 14, 2017 | 265 | Firm change | Other |
| M•• F•••••••• S•••••••• I••• | I••••• F•••••••• C••••••••• | Jan 30, 2015 | Jun 2, 2016 | 489 | Firm change after gap | Other |
| L•• F•••••••• L•• | M•• F•••••••• S•••••••• I••• | Nov 5, 2012 | Oct 22, 2013 | 351 | Firm change | Other |
| K••••••• I••••••••• C••••••• I••• | L•• F•••••••• L•• | Dec 31, 2006 | Jun 22, 2007 | 173 | Firm change | Other |
| W•••••• R• H•••• • C•• | K••••••• I••••••••• C••••••• I••• | Mar 17, 2003 | Jul 11, 2006 | 1,212 | Firm change after gap | Other |