DFX Intelligence
Reading the graph
Reading the graph
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Advisor at F••••••••• I••••••••• A••••••• L••
PHOENIX, AZ | AUBURN, ME
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 |
|---|---|---|---|---|---|---|
| F••••••••• I••••••••• A••••••• L•• | Independent wealth | Apr 30, 2024 | n/a | yes | AUBURN, ME|PHOENIX, AZ | Current employment |
| A••••••• A••••• L•• | Independent wealth | Sep 9, 2022 | Mar 20, 2024 | no | FARMINGDALE, ME|HOLLAND, MI |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| A••••••• A••••• L•• | F••••••••• I••••••••• A••••••• L•• | Mar 20, 2024 | Apr 30, 2024 | 41 | Firm change | RIA to RIA |
| F••••••••• O••••••••• L•• | A••••••• A••••• L•• | Jul 31, 2022 | Sep 9, 2022 |
| F••••••••• O••••••••• L•• | State registered | Apr 19, 2018 | Jul 31, 2022 | no | OVERLAND PARK, KS|OVERLAND PARK, KS | Previous registration |
| E•• F•••••••• A••••••• | Independent wealth | Feb 12, 2018 | Apr 4, 2018 | no | OVERLAND PARK, KS | Previous registration |
| F•••••••• A••••••• S•••••••• L•• | Former SEC adviser | Sep 12, 2017 | Jan 17, 2018 | no | Overland Park, KS | Previous registration |
| 40 |
| Firm change |
| Other |
| E•• F•••••••• A••••••• | F••••••••• O••••••••• L•• | Apr 4, 2018 | Apr 19, 2018 | 15 | Firm change | Ibd to state RIA |
| F•••••••• A••••••• S•••••••• L•• | E•• F•••••••• A••••••• | Jan 17, 2018 | Feb 12, 2018 | 26 | Firm change | Other |