DFX Intelligence
Reading the graph
Reading the graph
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Advisor at C•• I••••••••• I••
Bellevue, WA | ROCHESTER, MI
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•• I••••••••• I•• | Independent wealth | Nov 15, 2023 | n/a | yes | Bellevue, WA|ROCHESTER, MI | Current employment |
| A••••• F•••••••• P•••••••• I••• | Independent wealth | May 30, 2019 | Nov 8, 2019 | no | BELLEVUE, WA|DAVENPORT, IA|BELLEVUE, WA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| P••••••••• F••• M••••••••• L•• | A••••• F•••••••• P•••••••• I••• | Nov 3, 2023 | May 30, 2019 | -1,618 | Firm change after gap | RIA to RIA |
| A••••• F•••••••• P•••••••• I••• | C•• I••••••••• I•• | Nov 8, 2019 | Nov 15, 2023 |
| P••••••••• F••• M••••••••• L•• | Former SEC adviser | Oct 18, 2007 | Nov 3, 2023 | no | BELLEVUE, WA|San Diego, CA | Previous registration |
| A••••• F•••••••• P•••••••• I••• | Independent wealth | Feb 6, 2007 | Aug 31, 2017 | no | DAVENPORT, IA|LA JOLLA, CA|SAN DIEGO, CA | Previous registration |
| S• • Y• A•••• M••••••••• L•• | n/a | Feb 24, 2006 | May 15, 2006 | no | SAN FRANCISCO, CA|SAN FRANCISCO, CA | Previous registration |
| S•••• • Y•••••••• L•• | Former SEC adviser | Oct 3, 2005 | May 15, 2006 | no | SAN FRANCISCO, CA|SAN DIEGO, CA|SAN DIEGO, CA | Previous registration |
| W•••• F•••• I••••••••• L•• | n/a | Aug 13, 2001 | Oct 3, 2005 | no | SAN DIEGO, CA | Previous registration |
| 1,468 |
| Firm change after gap |
| RIA to RIA |
| A••••• F•••••••• P•••••••• I••• | P••••••••• F••• M••••••••• L•• | Aug 31, 2017 | Oct 18, 2007 | -3,605 | Firm change after gap | Other |
| S• • Y• A•••• M••••••••• L•• | A••••• F•••••••• P•••••••• I••• | May 15, 2006 | Feb 6, 2007 | 267 | Firm change | Other |
| S•••• • Y•••••••• L•• | S• • Y• A•••• M••••••••• L•• | May 15, 2006 | Feb 24, 2006 | -80 | Firm change after gap | Other |
| W•••• F•••• I••••••••• L•• | S•••• • Y•••••••• L•• | Oct 3, 2005 | Oct 3, 2005 | 0 | Firm change | Other |