DFX Intelligence
Reading the graph
Reading the graph
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Advisor at C•••••• C•••••• M••••••••• L••
Tigard, OR
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•••••• C•••••• M••••••••• L•• | State registered | Mar 19, 2021 | n/a | yes | Tigard, OR | Current employment |
| A••••••••• F•••••••• S•••••••• L•• | National bd RIA | Nov 5, 2019 | Mar 9, 2021 | no | Lake Oswego, OR | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| A••••••••• F•••••••• S•••••••• L•• | C•••••• C•••••• M••••••••• L•• | Mar 9, 2021 | Mar 19, 2021 | 10 | Firm change | Ibd to state RIA |
| M• H••••••• S••••••••• I••• | A••••••••• F•••••••• S•••••••• L•• | Oct 7, 2019 | Nov 5, 2019 |
| M• H••••••• S••••••••• I••• | Bd affiliated wealth | Mar 6, 2012 | Oct 7, 2019 | no | PORTLAND, OR|PORTLAND, OR | Previous registration |
| V••• F•••••••• A•••••••• I••• | Bd affiliated wealth | Jan 3, 2011 | Oct 19, 2011 | no | GANSEVOORT, NY|Albany, NY | Previous registration |
| V••• F•••••••• P•••••••• L•• | Former SEC adviser | Jul 15, 2009 | Jan 3, 2011 | no | GANSEVOORT, NY|LATHAM, NY | Previous registration |
| 29 |
| Firm change |
| Ibd to ibd |
| V••• F•••••••• A•••••••• I••• | M• H••••••• S••••••••• I••• | Oct 19, 2011 | Mar 6, 2012 | 139 | Firm change | Other |
| V••• F•••••••• P•••••••• L•• | V••• F•••••••• A•••••••• I••• | Jan 3, 2011 | Jan 3, 2011 | 0 | Bulk transfer | Other |