DFX Intelligence
Reading the graph
Reading the graph
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Advisor at S•••••••• A••••••• L••
PHOENIX, AZ | CHANDLER, 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•••••••• A••••••• L•• | National bd RIA | Mar 31, 2025 | n/a | yes | CHANDLER, AZ|PHOENIX, AZ | Current employment |
| F••••••• P••••••• A•• W•••••••• A••••••• | Former SEC adviser | Oct 13, 2021 | Mar 31, 2025 | no | SCOTTSDALE, AZ |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| F••••••• P••••••• A•• W•••••••• A••••••• | S•••••••• A••••••• L•• | Mar 31, 2025 | Mar 31, 2025 | 0 | Bulk transfer | Ibd to ibd |
| M•• I•••••••• S•••••••• L•• | F••••••• P••••••• A•• W•••••••• A••••••• | Jul 23, 2021 | Oct 13, 2021 |
| M•• I•••••••• S•••••••• L•• | Bd affiliated wealth | Mar 25, 2017 | Jul 23, 2021 | no | CINCINNATI, OH|Cincinnati, OH|CINCINNATI, OH | Previous registration |
| M•• F•••••••• S•••••••• I••• | Former SEC adviser | Feb 24, 2016 | Mar 25, 2017 | no | CINCINNATI, OH | Previous registration |
| L••••••• F•••••••• G••••• I••• | Former SEC adviser | Jan 10, 2014 | Jul 2, 2015 | no | MIAMISBURG, OH | Previous registration |
| 82 |
| Firm change |
| Ibd to ibd |
| M•• F•••••••• S•••••••• I••• | M•• I•••••••• S•••••••• L•• | Mar 25, 2017 | Mar 25, 2017 | 0 | Bulk transfer | Other |
| L••••••• F•••••••• G••••• I••• | M•• F•••••••• S•••••••• I••• | Jul 2, 2015 | Feb 24, 2016 | 237 | Firm change | Other |