DFX Intelligence
Reading the graph
Reading the graph
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Advisor at A••••••• W••••• L••
LAKE OSWEGO, OR
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 |
|---|---|---|---|---|---|---|
| A••••••• W••••• L•• | Independent wealth | Aug 20, 2016 | n/a | yes | LAKE OSWEGO, OR | Current employment |
| L•• F•••••••• L•• | Bd affiliated wealth | Sep 8, 2009 | Dec 1, 2009 | no | PORTLAND, OR | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| S•••••••• W••••• A••••••• G•••• | A••••••••• S••••••••• C•••• | Mar 31, 2010 | Jan 7, 2009 | -448 | Firm change after gap | Other |
| L•• F•••••••• L•• | A••••••• W••••• L•• | Dec 1, 2009 | Aug 20, 2016 |
| A••••••••• S••••••••• C•••• |
| n/a |
| Jan 7, 2009 |
| Sep 8, 2009 |
| no |
| PORTLAND, OR|SAN MATEO, CA |
| Previous registration |
| S•••••••• W••••• A••••••• G•••• | Former SEC adviser | Apr 1, 2008 | Mar 31, 2010 | no | PORTLAND, OR|PORTLAND, OR | Previous registration |
| F•• S••••••••• C••••••••• | Former SEC adviser | Mar 14, 2008 | Jun 17, 2008 | no | PORTLAND, OR|PORTLAND, OR|SACRAMENTO, CA | Previous registration |
| 2,454 |
| Firm change after gap |
| Other |
| A••••••••• S••••••••• C•••• | L•• F•••••••• L•• | Sep 8, 2009 | Sep 8, 2009 | 0 | Firm change | Other |
| F•• S••••••••• C••••••••• | S•••••••• W••••• A••••••• G•••• | Jun 17, 2008 | Apr 1, 2008 | -77 | Firm change after gap | Other |