DFX Intelligence
Reading the graph
Reading the graph
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Advisor at S•••••••• A••••••• L••
DURHAM, NC | RALEIGH, 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•••••••• A••••••• L•• | National bd RIA | Mar 31, 2025 | n/a | yes | RALEIGH, NC|DURHAM, NC | Current employment |
| F••••••• P••••••• A•• W•••••••• A••••••• | Former SEC adviser | Aug 10, 2022 | Mar 31, 2025 | no | RALEIGH, NC |
| 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 |
| F••••••• I••• | F••••••• P••••••• A•• W•••••••• A••••••• | Aug 4, 2022 | Aug 10, 2022 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 289916:310850:CA:2021-04-21 | Apr 21, 2021 | Feb 19, 2021 | ENCINO, CA | Firm change after gap |
| F••••••• I••• | State registered | Feb 19, 2021 | Aug 4, 2022 | no | ENCINO, CA | Previous registration |
| F••••••• I••• | n/a | Apr 2, 2020 | Apr 21, 2021 | no | ENCINO, CA | Previous registration |
| F••••••• I••• | n/a | Oct 19, 2017 | Jul 22, 2019 | no | ENCINO, CA | Previous registration |
| 6 |
| Firm change |
| Other |
| F••••••• I••• | F••••••• I••• | Apr 21, 2021 | Feb 19, 2021 | -61 | Firm change after gap | Other |