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 C•• W•••••• L••
••• Locked
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 |
|---|---|---|---|---|---|---|
| W••••••• A••••••• | Independent wealth | Jan 2, 2025 | n/a | yes | Clear Lake, MN|BEE CAVE, TX | Current employment |
| C•• W•••••• L•• | State registered | Sep 6, 2019 | n/a | yes | CLEAR LAKE, MN | Current employment |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| S••••••••• A•••••• A•••••••• I••• | J• W• C••• A•••••••• I••• | Oct 14, 2025 | Feb 2, 2016 | -3,542 | Firm change after gap | Other |
| I••••••••• P••••••• L•• | S••••••••• A•••••• A•••••••• I••• | Oct 14, 2025 | Jun 10, 2014 |
| Independent wealth |
| Oct 5, 2017 |
| May 24, 2019 |
| no |
| Henderson, NV|Henderson, NV|RALEIGH, NC |
| Previous registration |
| J• W• C••• A•••••••• I••• | Bd affiliated wealth | Feb 2, 2016 | Oct 13, 2017 | no | Las Vegas, NV|TAMPA, FL | Previous registration |
| S••••••••• A•••••• A•••••••• I••• | Former SEC adviser | Jun 10, 2014 | Oct 14, 2025 | no | LAS VEGAS, NV | Previous registration |
| I••••••••• P••••••• L•• | Independent wealth | Apr 4, 2012 | Oct 14, 2025 | no | CHARLOTTE, NC|LAS VEGAS, NV | Previous registration |
| W•••• C•••••• A•••••••• L•• | Independent wealth | Feb 11, 2008 | May 24, 2010 | no | LAS VEGAS, NV|DENVER, CO | Previous registration |
| I•• A•••• M••••••••• L••• | Independent wealth | May 25, 2006 | Jan 31, 2008 | no | CANYON LAKE, CA | Previous registration |
| -4,144 |
| Firm change after gap |
| Other |
| M••••• C•••••• A•••••••• L•• | C•• W•••••• L•• | May 24, 2019 | Sep 6, 2019 | 105 | Firm change | RIA to state RIA |
| J• W• C••• A•••••••• I••• | M••••• C•••••• A•••••••• L•• | Oct 13, 2017 | Oct 5, 2017 | -8 | Firm change | Other |
| W•••• C•••••• A•••••••• L•• | I••••••••• P••••••• L•• | May 24, 2010 | Apr 4, 2012 | 681 | Firm change after gap | Other |
| I•• A•••• M••••••••• L••• | W•••• C•••••• A•••••••• L•• | Jan 31, 2008 | Feb 11, 2008 | 11 | Firm change | Other |