DFX Intelligence
Reading the graph
Reading the graph
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Advisor at D••••••• L••••• A•••••••
GREENSBORO, NC
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 |
|---|---|---|---|---|---|---|
| D••••••• L••••• A••••••• | State registered | Dec 10, 2018 | n/a | yes | GREENSBORO, NC | Current employment |
| M••••• W••••• M••••••••• L•• | Former SEC adviser | Mar 1, 2011 | Dec 5, 2018 | no | GREENSBORO, NC | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| M••••• W••••• M••••••••• L•• | D••••••• L••••• A••••••• | Dec 5, 2018 | Dec 10, 2018 | 5 | Firm change | RIA to state RIA |
| T••••••• I••••••••• M••••••••• I••• | M••••• W••••• M••••••••• L•• | Nov 19, 2010 | Mar 1, 2011 |
| T••••••• I••••••••• M••••••••• I••• | Bd affiliated wealth | Oct 27, 2009 | Nov 19, 2010 | no | Howey In The Hills, FL|KERNERSVILLE, NC | Previous registration |
| F•••• C•••••• F•••••••• P•••••••• I••• | Former SEC adviser | Sep 8, 2008 | Oct 9, 2009 | no | MOORESVILLE, NC|FAYETTEVILLE, NC | Previous registration |
| 102 |
| Firm change |
| Other |
| F•••• C•••••• F•••••••• P•••••••• I••• | T••••••• I••••••••• M••••••••• I••• | Oct 9, 2009 | Oct 27, 2009 | 18 | Firm change | Other |