DFX Intelligence
Reading the graph
Reading the graph
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Advisor at S•••••••• F•••••••• P•••••••• L••
CHARLOTTE, 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 |
|---|---|---|---|---|---|---|
| S•••••••• F•••••••• P•••••••• L•• | Independent wealth | Jul 5, 2023 | n/a | yes | CHARLOTTE, NC | Current employment |
| F••••• M••••• W••••• A•••••••• L•• | Independent wealth | Jun 1, 2022 | Jun 5, 2023 | no | SPRINGFIELD, MO|Charlotte, NC |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| F••••• M••••• W••••• A•••••••• L•• | S•••••••• F•••••••• P•••••••• L•• | Jun 5, 2023 | Jul 5, 2023 | 30 | Firm change | RIA to RIA |
| D•••• H••••• G•••••• W••••• A••••••• L•• | F••••• M••••• W••••• A•••••••• L•• | Aug 24, 2022 | Jun 1, 2022 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 109279:110905:NC:2022-08-24 | Aug 24, 2022 | Jun 1, 2022 | CHARLOTTE, NC | Firm change after gap |
| D•••• H••••• G•••••• W••••• A••••••• L•• | Former SEC adviser | Jan 3, 2017 | Aug 24, 2022 | no | Charlotte, NC | Previous registration |
| D•••• H••••• G•••••• W••••• A••••••• L•• | Former SEC adviser | Feb 4, 2008 | Dec 31, 2016 | no | LINCOLNTON, NC|LINCOLNTON, NC|CHARLOTTE, NC | Previous registration |
| -84 |
| Firm change after gap |
| RIA to RIA |