DFX Intelligence
Reading the graph
Reading the graph
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Advisor at S••••• W••••• A•••••••• I•••
PHOENIX, 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 |
|---|---|---|---|---|---|---|
| S••••• W••••• A•••••••• I••• | No RAUM reported | Jan 23, 2015 | n/a | yes | PHOENIX, AZ | Current employment |
| U••• F•••••••• P••••••• S••••••• | Former SEC adviser | Apr 27, 2010 | Dec 2, 2014 | no | PHOENIX, AZ | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| U••• F•••••••• P••••••• S••••••• | S••••• W••••• A•••••••• I••• | Dec 2, 2014 | Jan 23, 2015 | 52 | Firm change | Other |
| M••••••••• M••••• L••• I•••••••• C•••••• | U••• F•••••••• P••••••• S••••••• | Apr 28, 2009 | Apr 27, 2010 |
| M••••••••• M••••• L••• I•••••••• C•••••• | Former SEC adviser | Dec 5, 2006 | Apr 28, 2009 | no | GLENDALE, AZ|ENFIELD, CT | Previous registration |
| M•• I•••••••• S•••••••• L•• | Bd affiliated wealth | May 8, 2006 | Nov 28, 2006 | no | GLENDALE, AZ|SPRINGFIELD, MA | Previous registration |
| M••••••••• I••••••••• S••••••• L•• | Former SEC adviser | Jun 16, 2004 | Jan 18, 2006 | no | CHICAGO, IL | Previous registration |
| 364 |
| Firm change |
| Other |
| M•• I•••••••• S•••••••• L•• | M••••••••• M••••• L••• I•••••••• C•••••• | Nov 28, 2006 | Dec 5, 2006 | 7 | Firm change | Other |
| M••••••••• I••••••••• S••••••• L•• | M•• I•••••••• S•••••••• L•• | Jan 18, 2006 | May 8, 2006 | 110 | Firm change | Other |