DFX Intelligence
Reading the graph
Reading the graph
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Advisor at A•••••• S•••• W••••• M••••••••• L••
Dade City, FL | VANCOUVER, 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 |
|---|---|---|---|---|---|---|
| A•••••• S•••• W••••• M••••••••• L•• | Independent wealth | Jan 1, 2025 | n/a | yes | Dade City, FL|VANCOUVER, WA | Current employment |
| P•••• O• M••• W••••• M••••••••• | Former SEC adviser | Sep 8, 2022 | Jan 30, 2023 | no | BRIGHTON, MI|San Antonio, FL |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| P•••• O• M••• W••••• M••••••••• | A•••••• S•••• W••••• M••••••••• L•• | Jan 30, 2023 | Jan 1, 2025 | 702 | Channel change | RIA to RIA |
| A•••••• S•••• W••••• M••••••••• L•• | P•••• O• M••• W••••• M••••••••• | Aug 8, 2022 | Sep 8, 2022 |
| A•••••• S•••• W••••• M••••••••• L•• | Independent wealth | Jul 26, 2021 | Aug 8, 2022 | no | Las Vegas, NV|VANCOUVER, WA | Previous registration |
| W•• B•••••••• S•••••••• I••• | Bd affiliated wealth | Aug 11, 2020 | Mar 11, 2021 | no | Las Vegas, NV | Previous registration |
| C••• F•••••••• S•••••••• L••• | Former SEC adviser | Mar 22, 2018 | Mar 7, 2019 | no | Las Vegsa, NV|SAN DIEGO, CA | Previous registration |
| C••• B•••••••• S•••••••• I••• | Former SEC adviser | Feb 21, 2012 | Feb 28, 2018 | no | TAMPA, FL|FORT MYERS, FL|CAPE CORAL, FL|NAPLES, FL|PORT CHARLOTTE, FL|Fort Myers, FL | Previous registration |
| J• W• C••• A•••••••• I••• | Bd affiliated wealth | Feb 25, 2011 | Nov 21, 2011 | no | TAMPA, FL | Previous registration |
| I••••• F•••••••• C••••••••• | Former SEC adviser | Jun 6, 2006 | Oct 7, 2010 | no | APPLETON, WI|CARPENTERSVILLE, IL|WEST DUNDEE, IL | Previous registration |
| 31 |
| Channel change |
| RIA to RIA |
| W•• B•••••••• S•••••••• I••• | A•••••• S•••• W••••• M••••••••• L•• | Mar 11, 2021 | Jul 26, 2021 | 137 | Firm change | Ibd to RIA |
| C••• F•••••••• S•••••••• L••• | W•• B•••••••• S•••••••• I••• | Mar 7, 2019 | Aug 11, 2020 | 523 | Firm change after gap | Ibd to ibd |
| C••• B•••••••• S•••••••• I••• | C••• F•••••••• S•••••••• L••• | Feb 28, 2018 | Mar 22, 2018 | 22 | Firm change | Other |
| J• W• C••• A•••••••• I••• | C••• B•••••••• S•••••••• I••• | Nov 21, 2011 | Feb 21, 2012 | 92 | Firm change | Other |
| I••••• F•••••••• C••••••••• | J• W• C••• A•••••••• I••• | Oct 7, 2010 | Feb 25, 2011 | 141 | Firm change | Other |