DFX Intelligence
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Reading the graph
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Advisor at S••••••• F•••••••• C••••
SARASOTA, FL
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•••••••• C•••• | Independent wealth | Oct 6, 2025 | n/a | yes | SARASOTA, FL | Current employment |
| S••••••• F•••••••• C•••• | Independent wealth | Mar 1, 2019 | Dec 31, 2019 | no | SARASOTA, FL | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| F••••••• P••••••• A•• W•••••••• A••••••• | S••••••• F•••••••• C•••• | Feb 14, 2019 | Mar 1, 2019 | 15 | Firm change | Ibd to RIA |
| S•••••••• A••••••• L•• | F••••••• P••••••• A•• W•••••••• A••••••• | Jul 13, 2018 | Jul 13, 2018 |
| F••••••• P••••••• A•• W•••••••• A••••••• | Former SEC adviser | Jul 13, 2018 | Feb 14, 2019 | no | BOSTON, MA | Previous registration |
| S•••••••• A••••••• L•• | National bd RIA | Aug 21, 2013 | Jul 13, 2018 | no | COVINGTON, KY|INDIANAPOLIS, IN | Previous registration |
| 0 |
| Bulk transfer |
| Ibd to new firm |