DFX Intelligence
Reading the graph
Reading the graph
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Advisor at C•••••• S••••• C•••••• M••••••• 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 |
|---|---|---|---|---|---|---|
| C•••••• S••••• C•••••• M••••••• L•• | Former SEC adviser | Nov 21, 2017 | n/a | yes | WEST DES MOINES, IA|PRAIRIE VILLAGE, KS | Current employment |
| N•••••••• A•••• M••••••••• | Independent wealth | Feb 10, 2011 | Nov 17, 2017 | no | WEST DES MOINES, IA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| N•••••••• A•••• M••••••••• | C•••••• S••••• C•••••• M••••••• L•• | Nov 17, 2017 | Nov 21, 2017 | 4 | Firm change | Other |
| D••• D••••••• • C•• | N•••••••• A•••• M••••••••• | Feb 7, 2011 | Feb 10, 2011 |
| D••• D••••••• • C•• | Independent wealth | Apr 7, 2009 | Feb 7, 2011 | no | DES MOINES, IA | Previous registration |
| D••••• C•••••• M••••••••• | Former SEC adviser | Sep 19, 2007 | Apr 8, 2009 | no | WEST DES MOINES, IA | Previous registration |
| 3 |
| Firm change |
| Other |
| D••••• C•••••• M••••••••• | D••• D••••••• • C•• | Apr 8, 2009 | Apr 7, 2009 | -1 | Firm change | Other |