DFX Intelligence
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Reading the graph
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Advisor at W•••• F•••• A•••••••
WEST DES MOINES, IA
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•••• F•••• A••••••• | Wirehouse | Jun 1, 2023 | n/a | yes | WEST DES MOINES, IA | Current employment |
| I••••••••• A••••••• C••• | Former SEC adviser | Apr 4, 2016 | Oct 20, 2018 | no | WEST DES MOINES, IA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| I••••••••• A••••••• C••• | W•••• F•••• A••••••• | Oct 20, 2018 | Jun 1, 2023 | 1,685 | Firm change after gap | Ibd to wirehouse |
| A•••• W••••• A•••••••• L•• | I••••••••• A••••••• C••• | Mar 10, 2016 | Apr 4, 2016 |
| A•••• W••••• A•••••••• L•• | Bd affiliated wealth | Jun 24, 2015 | Mar 10, 2016 | no | WEST DES MOINES, IA|CHICAGO, IL | Previous registration |
| S•••••• I••••••••• G••••• L•• | Former SEC adviser | May 23, 2014 | Jun 10, 2015 | no | KANNAPOLIS, NC | Previous registration |
| D••••• C•••••• M••••••••• | Former SEC adviser | Aug 31, 2011 | Aug 28, 2012 | no | WEST DES MOINES, IA | Previous registration |
| 25 |
| Firm change |
| Other |
| S•••••• I••••••••• G••••• L•• | A•••• W••••• A•••••••• L•• | Jun 10, 2015 | Jun 24, 2015 | 14 | Firm change | Other |
| D••••• C•••••• M••••••••• | S•••••• I••••••••• G••••• L•• | Aug 28, 2012 | May 23, 2014 | 633 | Firm change after gap | Other |