DFX Intelligence
Reading the graph
Reading the graph
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Advisor at E•••• S••••••••• L••
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 |
|---|---|---|---|---|---|---|
| E•••• S••••••••• L•• | Bd affiliated wealth | May 29, 2012 | n/a | yes | RIDGEFIELD, WA | Current employment |
| M•••• A•••••••• I••• | Former SEC adviser | Apr 19, 2007 | Apr 23, 2012 | no | GLENDALE, AZ | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| M•••• A•••••••• I••• | E•••• S••••••••• L•• | Apr 23, 2012 | May 29, 2012 | 36 | Firm change | Other |
| S•• A•••••••• I••• | M•••• A•••••••• I••• | Apr 17, 2012 | Apr 19, 2007 |
| S•• A•••••••• I••• | Former SEC adviser | Jul 29, 2004 | Apr 17, 2012 | no | BELLEVUE, WA | Previous registration |
| H•••••• T••••••• • K•••• L•• | Independent wealth | Mar 5, 2003 | Jul 26, 2004 | no | BELLEVUE, WA | Previous registration |
| Firm change after gap |
| Other |
| H•••••• T••••••• • K•••• L•• | S•• A•••••••• I••• | Jul 26, 2004 | Jul 29, 2004 | 3 | Firm change | Other |