DFX Intelligence
Reading the graph
Reading the graph
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Advisor at S••••• W••••• A•••••••• I•••
Phoenix, AZ
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 |
|---|---|---|---|---|---|---|
| S••••• W••••• A•••••••• I••• | No RAUM reported | Jan 31, 2025 | n/a | yes | Phoenix, AZ | Current employment |
| U••• I••••••••• S••••••• C•••••• | No RAUM reported | Jan 8, 2018 | May 24, 2020 | no | SAN ANTONIO, TX | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| U••• I••••••••• S••••••• C•••••• | S••••• W••••• A•••••••• I••• | May 24, 2020 | Jan 31, 2025 | 1,713 | Firm change after gap | Other |
| U••• F•••••••• P••••••• S••••••• | U••• I••••••••• S••••••• C•••••• | Jan 8, 2018 | Jan 8, 2018 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 5475:159035:TX:2020-05-24 | May 24, 2020 | Jan 31, 2025 | SAN ANTONIO, TX | Firm change after gap |
| U••• F•••••••• P••••••• S••••••• | Former SEC adviser | Dec 7, 2005 | Jan 8, 2018 | no | SAN ANTONIO, TX|PHOENIX, AZ | Previous registration |
| U••• I••••••••• S••••••• C•••••• | No RAUM reported | Oct 14, 2003 | Nov 30, 2005 | no | PHOENIX, AZ | Previous registration |
| 0 |
| Bulk transfer |
| Other |
| U••• I••••••••• S••••••• C•••••• | U••• F•••••••• P••••••• S••••••• | Nov 30, 2005 | Dec 7, 2005 | 7 | Firm change | Other |