DFX Intelligence
Reading the graph
Reading the graph
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Advisor at N••••••• A•••••••
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 |
|---|---|---|---|---|---|---|
| N••••••• A••••••• | Former SEC adviser | Jan 1, 1999 | n/a | yes | n/a | Current employment |
| L•• F•••••••• L•• | Bd affiliated wealth | Sep 13, 2012 | Feb 1, 2016 | no | WATERLOO, IA|SAN DIEGO, CA|WATERLOO, IA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| A•••••••• I••••••••• M••••••••• L•• | L•• F•••••••• L•• | Dec 20, 2016 | Sep 13, 2012 | -1,559 | Firm change after gap | Other |
| L•• F•••••••• L•• | n/a | Feb 1, 2016 | n/a | n/a |
| A•••••••• I••••••••• M••••••••• L•• | Former SEC adviser | Dec 4, 2008 | Dec 20, 2016 | no | WATERLOO, IA | Previous registration |
| N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• | Former SEC adviser | Aug 6, 2003 | Mar 30, 2009 | no | WATERLOO, IA | Previous registration |
| N••••••• A••••••• | Former SEC adviser | Jan 1, 1999 | Dec 31, 2002 | no | WATERLOO, IA | Previous registration |
| Departure |
| N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• | A•••••••• I••••••••• M••••••••• L•• | Mar 30, 2009 | Dec 4, 2008 | -116 | Firm change after gap | Other |