DFX Intelligence
Reading the graph
Reading the graph
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Advisor at A•••• W••••• M••••••••• L••
OMAHA, NE | BELLEVUE, WA
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 | Oct 16, 2023 | n/a | yes | OMAHA, NE|BELLEVUE, WA | Current employment |
| F•••••••• A•••••••• I••••••••• M••••••••• | Former SEC adviser | Sep 10, 2013 | Oct 10, 2023 | no | OLYMPIA, WA|Bellevue, WA|BELLEVUE, WA|Mercer Island, WA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| F•••••••• A•••••••• I••••••••• M••••••••• | A•••• W••••• M••••••••• L•• | Oct 10, 2023 | Oct 16, 2023 | 6 | Firm change | RIA to RIA |
| L•• F•••••••• L•• | F•••••••• A•••••••• A••••••• S••••••• | Oct 29, 2015 | Dec 10, 2010 |
| F•••••••• A•••••••• A••••••• S••••••• | Former SEC adviser | Dec 10, 2010 | Dec 23, 2013 | no | OLYMPIA, WA | Previous registration |
| L•• F•••••••• L•• | Bd affiliated wealth | Nov 30, 2010 | Oct 29, 2015 | no | FORT MILL, SC|BELLEVUE, WA|BRYAN, OH|MERCER ISLAND, WA | Previous registration |
| N•• A•••••••• I••• | n/a | Aug 17, 2009 | Nov 30, 2010 | no | BELLEVUE, WA|BRYAN, OH | Previous registration |
| A••••••• F•••••••• A•••••••• L•• | Bd affiliated wealth | Jul 22, 2008 | Sep 29, 2009 | no | BELLEVUE, WA | Previous registration |
| F•• S••••••••• C••••••••• | Former SEC adviser | Apr 11, 2007 | Jul 24, 2008 | no | BELLEVUE, WA | Previous registration |
| T••••••••• F•••••••• A•••••••• L•• | Bd affiliated wealth | Mar 29, 2002 | Apr 23, 2007 | no | BELLEVUE, WA|BELLEVUE, WA | Previous registration |
| -1,784 |
| Firm change after gap |
| Other |
| F•••••••• A•••••••• A••••••• S••••••• | F•••••••• A•••••••• I••••••••• M••••••••• | Dec 23, 2013 | Sep 10, 2013 | -104 | Firm change after gap | Other |
| N•• A•••••••• I••• | L•• F•••••••• L•• | Nov 30, 2010 | Nov 30, 2010 | 0 | Bulk transfer | Other |
| A••••••• F•••••••• A•••••••• L•• | N•• A•••••••• I••• | Sep 29, 2009 | Aug 17, 2009 | -43 | Firm change after gap | Other |
| F•• S••••••••• C••••••••• | A••••••• F•••••••• A•••••••• L•• | Jul 24, 2008 | Jul 22, 2008 | -2 | Firm change | Other |
| T••••••••• F•••••••• A•••••••• L•• | F•• S••••••••• C••••••••• | Apr 23, 2007 | Apr 11, 2007 | -12 | Firm change | Other |