DFX Intelligence
Reading the graph
Reading the graph
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Advisor at C•••••• A••••••• S•••••••• L••
Belmont, NC | DALLAS, TX
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 |
|---|---|---|---|---|---|---|
| C•••••• A••••••• S•••••••• L•• | Independent wealth | Feb 27, 2025 | n/a | yes | Belmont, NC|DALLAS, TX | Current employment |
| A••••••••• F•••••••• S•••••••• L•• | National bd RIA | Oct 24, 2024 | Jan 16, 2025 | no | CHARLOTTE, NC|Matthews, NC |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| A••••••••• F•••••••• S•••••••• L•• | C•••••• A••••••• S•••••••• L•• | Jan 16, 2025 | Feb 27, 2025 | 42 | Firm change | Ibd to RIA |
| L••••• T••••• A••••••• S•••••••• L•• | A••••••••• F•••••••• S•••••••• L•• | Dec 26, 2023 | Oct 24, 2024 |
| L••••• T••••• A••••••• S•••••••• L•• | Independent wealth | Mar 22, 2023 | Dec 26, 2023 | no | CHARLOTTE, NC | Previous registration |
| F••••• I••••••••• | Independent wealth | Nov 19, 2019 | Sep 15, 2021 | no | PLANO, TX|PLANO, TX | Previous registration |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Wirehouse | Jul 5, 2017 | Oct 1, 2019 | no | South Portland, ME|MELVILLE, NY|SOUTH PORTLAND, ME|SCARBOROUGH, ME|SCARBOROUGH, ME|SOUTH PORTLAND, ME|NASHUA, NH|SOUTH PORTLAND, ME | Previous registration |
| M•• I•••••••• S•••••••• L•• | Bd affiliated wealth | Mar 25, 2017 | Jun 14, 2017 | no | Falmouth, ME | Previous registration |
| M•• F•••••••• S•••••••• I••• | Former SEC adviser | Jan 21, 2016 | Mar 25, 2017 | no | FALMOUTH, ME | Previous registration |
| 303 |
| Firm change |
| RIA to ibd |
| F••••• I••••••••• | L••••• T••••• A••••••• S•••••••• L•• | Sep 15, 2021 | Mar 22, 2023 | 553 | Firm change after gap | RIA to RIA |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | F••••• I••••••••• | Oct 1, 2019 | Nov 19, 2019 | 49 | Firm change | Wirehouse to RIA |
| M•• I•••••••• S•••••••• L•• | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Jun 14, 2017 | Jul 5, 2017 | 21 | Firm change | Other |
| M•• F•••••••• S•••••••• I••• | M•• I•••••••• S•••••••• L•• | Mar 25, 2017 | Mar 25, 2017 | 0 | Bulk transfer | Other |