DFX Intelligence
Reading the graph
Reading the graph
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Advisor at V••••••• A•••••••• 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 |
|---|---|---|---|---|---|---|
| V••••••• A•••••••• I••• | Bd affiliated wealth | Oct 29, 2021 | n/a | yes | Scottsdale, AZ | Current employment |
| V•••• F•••••••• A•••••••• I••• | Bd affiliated wealth | Jun 21, 2012 | Feb 25, 2015 | no | HOUSTON, TX | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| V•••• F•••••••• A•••••••• I••• | V••••••• A•••••••• I••• | Feb 25, 2015 | Oct 29, 2021 | 2,438 | Firm change after gap | Other |
| C••• F•••••••• S•••••••• L••• | V•••• F•••••••• A•••••••• I••• | Dec 1, 2011 | Jun 21, 2012 |
| C••• F•••••••• S•••••••• L••• | Former SEC adviser | Apr 20, 2009 | Dec 1, 2011 | no | BERKELEY, CA|OAKLAND, CA|SAN DIEGO, CA|ALAMEDA, CA|OAKLAND, CA|SAN LEANDRO, CA|OAKLAND, CA | Previous registration |
| T• A••••••••• I••••••••• M••••••••• L•• | Former SEC adviser | Feb 6, 2008 | Apr 20, 2009 | no | WALNUT CREEK, CA | Previous registration |
| T• A••••••••• I••• | Former SEC adviser | Feb 6, 2008 | Apr 20, 2009 | no | Walnut Creek, CA | Previous registration |
| B••••• • Y•••• A•••••••• I••• | Former SEC adviser | Oct 6, 2005 | Dec 20, 2006 | no | LAFAYETTE, CA|LAFAYETTE, CA | Previous registration |
| A••••••••• A•••••• S•••••••• I••• | n/a | Jan 7, 2005 | Oct 7, 2005 | no | WALNUT CREEK, CA | Previous registration |
| 203 |
| Firm change |
| Other |
| T• A••••••••• I••• | T• A••••••••• I••••••••• M••••••••• L•• | Apr 20, 2009 | Feb 6, 2008 | -439 | Firm change after gap | Other |
| T• A••••••••• I••••••••• M••••••••• L•• | T• A••••••••• I••• | Apr 20, 2009 | Feb 6, 2008 | -439 | Channel change | Other |
| B••••• • Y•••• A•••••••• I••• | T• A••••••••• I••• | Dec 20, 2006 | Feb 6, 2008 | 413 | Firm change after gap | Other |
| A••••••••• A•••••• S•••••••• I••• | B••••• • Y•••• A•••••••• I••• | Oct 7, 2005 | Oct 6, 2005 | -1 | Firm change | Other |