DFX Intelligence
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Reading the graph
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Advisor at C••••••••• W••••• A•••••••• L••
MINNEAPOLIS, MN | Albuquerque, NM
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 |
|---|---|---|---|---|---|---|
| C••••••••• W••••• A•••••••• L•• | Bd affiliated wealth | Apr 26, 2018 | n/a | yes | Albuquerque, NM|MINNEAPOLIS, MN | Current employment |
| R••• S•••••• W••••• A•••••••• L•• | Former SEC adviser | Oct 22, 2015 | Dec 13, 2016 | no | ALBUQUERQUE, NM |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| R••• W••••• L•• | R••• S•••••• W••••• A•••••••• L•• | Apr 10, 2018 | Oct 22, 2015 | -901 | Firm change after gap | Other |
| R••• S•••••• W••••• A•••••••• L•• | C••••••••• W••••• A•••••••• L•• | Dec 13, 2016 | Apr 26, 2018 |
| R••• W••••• L•• | Mixed wealth | Dec 16, 2011 | Apr 10, 2018 | no | ALBUQUERQUE, NM | Previous registration |
| 499 |
| Firm change after gap |
| Other |