DFX Intelligence
Reading the graph
Reading the graph
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Advisor at W•••• F•••• A•••••••
RENO, NV | ROSEVILLE, CA
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 |
|---|---|---|---|---|---|---|
| W•••• F•••• A••••••• | Wirehouse | Feb 6, 2023 | n/a | yes | ROSEVILLE, CA|RENO, NV | Current employment |
| F••••••• P••••••• A•• W•••••••• A••••••• | Former SEC adviser | Apr 1, 2022 | Nov 3, 2022 | no | GREENWOOD VILLAGE, CO |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| F••••••• P••••••• A•• W•••••••• A••••••• | W•••• F•••• A••••••• | Nov 3, 2022 | Feb 6, 2023 | 95 | Firm change | Ibd to wirehouse |
| D••••••• I••••••••• A•••••••• I••• | F••••••• P••••••• A•• W•••••••• A••••••• | Nov 20, 2015 | Apr 1, 2022 |
| D••••••• I••••••••• A•••••••• I••• | Independent wealth | Oct 2, 2014 | Nov 20, 2015 | no | ARVADA, CO | Previous registration |
| D••• D••••••• • C•• | Independent wealth | Aug 2, 2011 | Nov 20, 2015 | no | ARVADA, CO|GREAT FALLS, MT | Previous registration |
| T•••••••• I••••••••• M••••••••• I•• | Asset manager | Oct 7, 2004 | Feb 4, 2011 | no | ARVADA, CO|SANTA FE, NM | Previous registration |
| 2,324 |
| Firm change after gap |
| Other |
| D••• D••••••• • C•• | D••••••• I••••••••• A•••••••• I••• | Nov 20, 2015 | Oct 2, 2014 | -414 | Firm change after gap | Other |
| T•••••••• I••••••••• M••••••••• I•• | D••• D••••••• • C•• | Feb 4, 2011 | Aug 2, 2011 | 179 | Firm change | Other |