DFX Intelligence
Reading the graph
Reading the graph
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Advisor at D•••••• P•••••• W••••• M••••••••• L••
Naples, 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 |
|---|---|---|---|---|---|---|
| D•••••• P•••••• W••••• M••••••••• L•• | State registered | Nov 5, 2023 | n/a | yes | Naples, FL | Current employment |
| R•••••• W••••• M••••••••• I••• | Independent wealth | May 12, 2022 | Oct 17, 2023 | no | BONITA SPRINGS, FL |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| R•••••• W••••• M••••••••• I••• | D•••••• P•••••• W••••• M••••••••• L•• | Oct 17, 2023 | Nov 5, 2023 | 19 | Firm change | RIA to state RIA |
| F•• S••••••••• C••••••••• | R•••••• W••••• M••••••••• I••• | May 10, 2022 | May 12, 2022 |
| F•• S••••••••• C••••••••• | Former SEC adviser | Feb 21, 2018 | May 10, 2022 | no | NAPLES, FL | Previous registration |
| E•••••••• A•••••••• L•• | National bd RIA | Feb 9, 2018 | Mar 6, 2018 | no | NAPLES, FL|MIAMI, FL|FORT MYERS, FL | Previous registration |
| 2 |
| Firm change |
| Ibd to RIA |
| E•••••••• A•••••••• L•• | F•• S••••••••• C••••••••• | Mar 6, 2018 | Feb 21, 2018 | -13 | Firm change | Ibd to ibd |