DFX Intelligence
Reading the graph
Reading the graph
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Advisor at M•••• F•••••••• A•••••••
ALPHARETTA, GA | Tacoma, WA
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 |
|---|---|---|---|---|---|---|
| M•••• F•••••••• A••••••• | Bd affiliated wealth | Oct 6, 2022 | n/a | yes | ALPHARETTA, GA|Tacoma, WA | Current employment |
| T•••• I••••••••• M••••••••• | Former SEC adviser | Jan 10, 2019 | Oct 5, 2022 | no | TACOMA, WA|ISSAQUAH, WA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| T•••• I••••••••• M••••••••• | M•••• F•••••••• A••••••• | Oct 5, 2022 | Oct 6, 2022 | 1 | Firm change | RIA to RIA |
| U••• B•••••• I••••••••• I••• | T•••• I••••••••• M••••••••• | Jan 8, 2019 | Jan 10, 2019 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 297699:142457:WA:2022-10-04 | Oct 5, 2022 | Oct 6, 2022 | ISSAQUAH, WA | Firm change |
| 17868:297699:WA:2019-01-08 | Jan 8, 2019 | Jan 10, 2019 | BONNEY LAKE, WA | Firm change |
| U••• B•••••• I••••••••• I••• | Former SEC adviser | Jul 30, 2012 | Jan 8, 2019 | no | Spanway, WA|TACOMA, WA|UNIVERSITY PLACE, WA|TACOMA, WA|Tacoma, WA|Puyallup, WA|Puyallup, WA|Sumner, WA|PUYALLUP, WA|Puyallup, WA|PUYALLUP, WA|Tacoma, WA|Bonney Lake, WA | Previous registration |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Wirehouse | Oct 23, 2009 | Aug 1, 2012 | no | TACOMA, WA|TACOMA, WA|SEATTLE, WA | Previous registration |
| B••• O• A•••••• I••••••••• S•••••••• I••• | n/a | Sep 26, 2008 | Oct 23, 2009 | no | TACOMA, WA|SEATTLE, WA | Previous registration |
| E••••• J•••• | National bd RIA | Nov 8, 2006 | Sep 30, 2008 | no | Tacoma, WA | Previous registration |
| 2 |
| Firm change |
| Ibd to new firm |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | U••• B•••••• I••••••••• I••• | Aug 1, 2012 | Jul 30, 2012 | -2 | Firm change | Other |
| B••• O• A•••••• I••••••••• S•••••••• I••• | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Oct 23, 2009 | Oct 23, 2009 | 0 | Bulk transfer | Other |
| E••••• J•••• | B••• O• A•••••• I••••••••• S•••••••• I••• | Sep 30, 2008 | Sep 26, 2008 | -4 | Firm change | Other |