DFX Intelligence
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Reading the graph
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Advisor at A•••• W••••• A•••••••• L••
WEST DES MOINES, IA
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••••• A•••••••• L•• | Bd affiliated wealth | Sep 6, 2012 | n/a | yes | WEST DES MOINES, IA | Current employment |
| C••••••• W••••• A•••••••• L•• | Former SEC adviser | Apr 19, 2012 | Dec 31, 2012 | no | JOHNSTON, IA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| D••••• C•••••• M••••••••• | C••••••• W••••• A•••••••• L•• | Dec 31, 2012 | Apr 19, 2012 | -256 | Firm change after gap | Other |
| C••••••• W••••• A•••••••• L•• | A•••• W••••• A•••••••• L•• | Dec 31, 2012 | Sep 6, 2012 |
| D••••• C•••••• M••••••••• | Former SEC adviser | Feb 20, 2006 | Dec 31, 2012 | no | WEST DES MOINES, IA|WEST DES MOINES, IA | Previous registration |
| U•• F•••••••• S••••••• I••• | Wirehouse | Mar 28, 2002 | Jul 21, 2003 | no | OVERLAND PARK, KS | Previous registration |
| -116 |
| Firm change after gap |
| Other |
| U•• F•••••••• S••••••• I••• | D••••• C•••••• M••••••••• | Jul 21, 2003 | Feb 20, 2006 | 945 | Firm change after gap | Other |