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 R•• A•••••••• L••
VESTAVIA HILLS, AL
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 |
|---|---|---|---|---|---|---|
| R•• A•••••••• L•• | Independent wealth | Jan 31, 2022 | n/a | yes | VESTAVIA HILLS, AL | Current employment |
| C••••• F•• W••••• P••••••• A•••••••• I•• | Former SEC adviser | Jan 12, 2015 | Sep 11, 2017 | no | TROY, MI | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| L•• F•••••••• L•• | C••••• F•• W••••• P••••••• A•••••••• I•• | Feb 4, 2022 | Jan 12, 2015 | -2,580 | Firm change after gap | Other |
| C••••• F•• W••••• P••••••• A•••••••• I•• | R•• A•••••••• L•• | Sep 11, 2017 | Jan 31, 2022 |
| L•• F•••••••• L•• | Bd affiliated wealth | Jan 15, 2010 | Feb 4, 2022 | no | PORT SAINT LUCIE, FL|SAN DIEGO, CA|PORT SAINT LUCIE, FL|TROY, MI | Previous registration |
| M••••• S•••••• C••••••••• | n/a | Jun 23, 2009 | Oct 13, 2009 | no | WEST PALM BEACH, FL|BOSTON, MA | Previous registration |
| 1,603 |
| Firm change after gap |
| Other |
| M••••• S•••••• C••••••••• | L•• F•••••••• L•• | Oct 13, 2009 | Jan 15, 2010 | 94 | Firm change | Other |