DFX Intelligence
Reading the graph
Reading the graph
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Advisor at A••••••• F••••••••• L•••
FOLSOM, CA | ALBUQUERQUE, NM
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 |
|---|---|---|---|---|---|---|
| A••••••• F••••••••• L••• | Bd affiliated wealth | Jun 2, 2022 | n/a | yes | ALBUQUERQUE, NM|FOLSOM, CA | Current employment |
| U•• W••••• A••••••• | Former SEC adviser | Jan 17, 2014 | Jun 30, 2022 | no | ALBUQUERQUE, NM | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| U•• W••••• A••••••• | A••••••• F••••••••• L••• | Jun 30, 2022 | Jun 2, 2022 | -28 | Firm change | RIA to ibd |
| B••••••• I••••••••• S•••••••• I••• ••••• | U•• W••••• A••••••• | Apr 16, 2012 | Jan 17, 2014 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 132903:111167:NM:2022-06-30 | Jun 30, 2022 | Jun 2, 2022 | ALBUQUERQUE, NM | Firm change |
| B••••••• I••••••••• S•••••••• I••• ••••• | Former SEC adviser | Mar 23, 2011 | Apr 16, 2012 | no | ALBUQUERQUE, NM|ALBUQUERQUE, NM|RIO RANCHO, NM|ALBUQUERQUE, NM|ALBUQUERQUE, NM|ALBUQUERQUE, NM|ALBUQUERQUE, NM|ALBUQUERQUE, NM|LOS LUNAS, NM|LOS LUNAS, NM|RIO RANCHO, NM | Previous registration |
| W••••••• S••••••••• A••••••• | Former SEC adviser | Jan 21, 2011 | Mar 22, 2011 | no | ALBUQUERQUE, NM|OKLAHOMA CITY, OK | Previous registration |
| T•• M••••••• G•••• | n/a | Dec 3, 2010 | Apr 13, 2011 | no | ALBUQUERQUE, NM | Previous registration |
| R•••••• J•••• F•••••••• S•••••••• I••• | n/a | Jul 5, 2006 | Nov 16, 2007 | no | ALBUQUERQUE, NM | Previous registration |
| 641 |
| Firm change after gap |
| Other |
| T•• M••••••• G•••• | W••••••• S••••••••• A••••••• | Apr 13, 2011 | Jan 21, 2011 | -82 | Firm change after gap | Other |
| W••••••• S••••••••• A••••••• | B••••••• I••••••••• S•••••••• I••• ••••• | Mar 22, 2011 | Mar 23, 2011 | 1 | Firm change | Other |
| R•••••• J•••• F•••••••• S•••••••• I••• | T•• M••••••• G•••• | Nov 16, 2007 | Dec 3, 2010 | 1,113 | Firm change after gap | Other |