DFX Intelligence
Reading the graph
Reading the graph
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Advisor at S••••• W••••• A•••••••• I•••
SAN FRANCISCO, CA | Phoenix, 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 |
|---|---|---|---|---|---|---|
| S••••• W••••• A•••••••• I••• | No RAUM reported | Apr 28, 2025 | n/a | yes | Phoenix, AZ|SAN FRANCISCO, CA | Current employment |
| V••••••• A•••••••• I••• | Bd affiliated wealth | Jun 9, 2021 | Aug 27, 2024 | no | Scottsdale, AZ |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| V••••••• A•••••••• I••• | S••••• W••••• A•••••••• I••• | Aug 27, 2024 | Apr 28, 2025 | 244 | Firm change | Other |
| W••••• E••••••••• A••••••• S•••••••• L•• | V••••••• A•••••••• I••• | Jun 10, 2021 | Jun 9, 2021 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 159216:116407:WI:2021-01-13 | Jan 13, 2021 | Jan 2, 2021 | MADISON, WI | Firm change |
| W••••• E••••••••• A••••••• S•••••••• L•• | Bd affiliated wealth | Jan 2, 2021 | Jun 10, 2021 | no | PLYMOUTH, MN|Madison, WI | Previous registration |
| S•• W••••• M••••••••• L•• | Former SEC adviser | Aug 1, 2018 | Jan 13, 2021 | no | MADISON, WI | Previous registration |
| T•• M••••• G••••• L•• | Independent wealth | Sep 17, 2015 | Jul 31, 2018 | no | HOUSTON, TX|CHICAGO, IL | Previous registration |
| M•• I•••••••• S•••••••• L•• | Bd affiliated wealth | Oct 5, 2004 | Oct 19, 2004 | no | ROCKFORD, IL | Previous registration |
| N•• A•••••• S•••••••• L•• | Former SEC adviser | Oct 17, 2000 | Aug 23, 2004 | no | ROCKFORD, IL | Previous registration |
| -1 |
| Firm change |
| Ibd to ibd |
| S•• W••••• M••••••••• L•• | W••••• E••••••••• A••••••• S•••••••• L•• | Jan 13, 2021 | Jan 2, 2021 | -11 | Firm change | RIA to ibd |
| T•• M••••• G••••• L•• | S•• W••••• M••••••••• L•• | Jul 31, 2018 | Aug 1, 2018 | 1 | Firm change | Other |
| M•• I•••••••• S•••••••• L•• | T•• M••••• G••••• L•• | Oct 19, 2004 | Sep 17, 2015 | 3,985 | Firm change after gap | Other |
| N•• A•••••• S•••••••• L•• | M•• I•••••••• S•••••••• L•• | Aug 23, 2004 | Oct 5, 2004 | 43 | Firm change | Other |