DFX Intelligence
Reading the graph
Reading the graph
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Advisor at F•••••••• A•••••••• L••
Cave Creek, AZ | CAVE CREEK, AZ
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 |
|---|---|---|---|---|---|---|
| F•••••••• W••••• M••••••••• L•• | State registered | Jun 16, 2025 | n/a | yes | CAVE CREEK, AZ | Current employment |
| F•••••••• A•••••••• L•• | Independent wealth | Oct 21, 2022 | n/a | yes | Cave Creek, AZ | Current employment |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| C••••••• P••••••• | F•••••••• A•••••••• L•• | Aug 15, 2022 | Oct 21, 2022 | 67 | Firm change | RIA to RIA |
| K••••••• W••••• P••••••• L•• | C••••••• P••••••• | Jun 29, 2022 | May 3, 2022 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 171811:105348:AZ:2022-06-29 | Jun 29, 2022 | May 3, 2022 | CHANDLER, AZ | Firm change after gap |
| Independent wealth |
| May 3, 2022 |
| Aug 15, 2022 |
| no |
| OVERLAND PARK, KS|Chandler, AZ |
| Previous registration |
| K••••••• W••••• P••••••• L•• | Former SEC adviser | Nov 6, 2019 | Jun 29, 2022 | no | CHANDLER, AZ | Previous registration |
| T•• • A••••••••• I••• | Former SEC adviser | Sep 20, 2018 | Jul 1, 2019 | no | SCOTTSDALE, AZ | Previous registration |
| Firm change after gap |
| RIA to RIA |
| T•• • A••••••••• I••• | K••••••• W••••• P••••••• L•• | Jul 1, 2019 | Nov 6, 2019 | 128 | Firm change | RIA to RIA |