DFX Intelligence
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Reading the graph
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Advisor at S••••• P•••• A••••••• L••
LAKE OSWEGO, OR | Ridgefield, WA
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 |
|---|---|---|---|---|---|---|
| S••••• P•••• A••••••• L•• | State registered | Nov 19, 2020 | n/a | yes | Ridgefield, WA|LAKE OSWEGO, OR | Current employment |
| T• A••••••••• I••••••••• M••••••••• L•• | Former SEC adviser | Aug 18, 2009 | Sep 9, 2020 | no | PORTLAND, OR |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| T• A••••••••• I••••••••• M••••••••• L•• | S••••• P•••• A••••••• L•• | Sep 9, 2020 | Nov 19, 2020 | 71 | Firm change | RIA to state RIA |
| T• A••••••••• I••• | T• A••••••••• I••••••••• M••••••••• L•• | Sep 9, 2020 | Aug 18, 2009 |
| T• A••••••••• I••• | Former SEC adviser | Aug 13, 2009 | Sep 9, 2020 | no | Portland, OR | Previous registration |
| S•••••••• A••••••• L•• | National bd RIA | Nov 15, 2001 | Jun 24, 2009 | no | SALT LAKE CITY, UT | Previous registration |
| -4,040 |
| Channel change |
| Other |
| S•••••••• A••••••• L•• | T• A••••••••• I••• | Jun 24, 2009 | Aug 13, 2009 | 50 | Firm change | Ibd to new firm |