DFX Intelligence
Reading the graph
Reading the graph
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Advisor at A•••••• W••••• M••••••••• L••
Peachtree Corners, GA | MOUNT PLEASANT, SC
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••••• M••••••••• L•• | Independent wealth | Sep 18, 2024 | n/a | yes | Peachtree Corners, GA|MOUNT PLEASANT, SC | Current employment |
| U••• A••••••• | Mixed wealth | Oct 9, 2020 | Oct 3, 2024 | no | Alpharetta, GA|MIAMI, FL|Altlanta, GA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| U••• A••••••• | A•••••• W••••• M••••••••• L•• | Oct 3, 2024 | Sep 18, 2024 | -15 | Firm change | RIA to RIA |
| A•• D•••••• F••••• O••••• L•• | U••• A••••••• | Sep 30, 2020 | Oct 9, 2020 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 288134:301044:FL:2019-06-05 | Jun 5, 2019 | Jun 6, 2019 | MIAMI, FL | Firm change |
| 150419:288134:GA:2018-03-16 | Mar 16, 2018 | Mar 6, 2018 | CUMMING, GA | Firm change |
| A•• D•••••• F••••• O••••• L•• | Former SEC adviser | Jun 6, 2019 | Sep 30, 2020 | no | NEW YORK, NY|Alpharetta, GA | Previous registration |
| A•• D•••••• I••••••••• F••••• O••••• U•• L•••••• P••••••••• | Former SEC adviser | Mar 6, 2018 | Jun 5, 2019 | no | Cumming, GA|MIAMI, FL | Previous registration |
| A•• W••••• I••• | Former SEC adviser | Sep 18, 2015 | Mar 16, 2018 | no | ATLANTA, GA|Cumming, GA | Previous registration |
| O••••••••• • C•• I••• | Bd affiliated wealth | Mar 17, 2009 | Jun 15, 2012 | no | ATLANTA, GA|ATLANTA, GA|ATLANTA, GA | Previous registration |
| S••••••• G•••• C•••••• | n/a | Feb 6, 2006 | Mar 16, 2009 | no | ATLANTA, GA | Previous registration |
| W•••• F•••• A••••••• | Wirehouse | Jun 20, 2002 | Dec 31, 2005 | no | DULUTH, GA | Previous registration |
| W••••••• S••••••••• I••• | n/a | Mar 25, 2002 | Jun 20, 2002 | no | CHARLOTTE, NC | Previous registration |
| Channel change |
| RIA to RIA |
| A•• D•••••• I••••••••• F••••• O••••• U•• L•••••• P••••••••• | A•• D•••••• F••••• O••••• L•• | Jun 5, 2019 | Jun 6, 2019 | 1 | Firm change | RIA to new firm |
| A•• W••••• I••• | A•• D•••••• I••••••••• F••••• O••••• U•• L•••••• P••••••••• | Mar 16, 2018 | Mar 6, 2018 | -10 | Firm change | Other |
| O••••••••• • C•• I••• | A•• W••••• I••• | Jun 15, 2012 | Sep 18, 2015 | 1,190 | Firm change after gap | Other |
| S••••••• G•••• C•••••• | O••••••••• • C•• I••• | Mar 16, 2009 | Mar 17, 2009 | 1 | Firm change | Other |
| W•••• F•••• A••••••• | S••••••• G•••• C•••••• | Dec 31, 2005 | Feb 6, 2006 | 37 | Firm change | Other |
| W••••••• S••••••••• I••• | W•••• F•••• A••••••• | Jun 20, 2002 | Jun 20, 2002 | 0 | Bulk transfer | Other |