DFX Intelligence
Reading the graph
Reading the graph
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Advisor at F••••• I•••••••••
PLANO, TX | Corte Madera, CA
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••••• I••••••••• | Independent wealth | Sep 13, 2023 | n/a | yes | Corte Madera, CA|PLANO, TX | Current employment |
| E•••••• A••••••• G••••• L•• | Bd affiliated wealth | Apr 3, 2023 | Sep 5, 2023 | no | GREENWOOD VILLAGE, CO |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| E•••••• A••••••• G••••• L•• | F••••• I••••••••• | Sep 5, 2023 | Sep 13, 2023 | 8 | Firm change | Ibd to RIA |
| P••••••• C•••••• A••••••• C••••••••• | E•••••• A••••••• G••••• L•• | Apr 3, 2023 | Apr 3, 2023 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 112058:107342:CO:2023-09-05 | Sep 5, 2023 | Sep 13, 2023 | GREENWOOD VILLAGE, CO | Firm change |
| P••••••• C•••••• A••••••• C••••••••• | Former SEC adviser | Nov 21, 2012 | Apr 3, 2023 | no | GREENWOOD VILLAGE, CO | Previous registration |
| F••••• I••••••••• | Independent wealth | Sep 12, 2012 | Nov 9, 2012 | no | SAN MATEO, CA|PLANO, TX | Previous registration |
| 0 |
| Bulk transfer |
| RIA to ibd |
| F••••• I••••••••• | P••••••• C•••••• A••••••• C••••••••• | Nov 9, 2012 | Nov 21, 2012 | 12 | Firm change | Other |