DFX Intelligence
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Advisor at P•• A•••••••
FARMINGTON, NM
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 |
|---|---|---|---|---|---|---|
| P•• A••••••• | Independent wealth | Apr 18, 2018 | n/a | yes | FARMINGTON, NM | Current employment |
| C•• F•••••••• G••••• I••• | Former SEC adviser | Jun 16, 2015 | Dec 31, 2018 | no | FARMINGTON, NM | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| C•• F•••••••• G••••• I••• | P•• A••••••• | Dec 31, 2018 | Apr 18, 2018 | -257 | Firm change after gap | RIA to RIA |
| W••••••• S••••••••• A••••••• | C•• F•••••••• G••••• I••• | Jun 16, 2015 | Jun 16, 2015 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 21033:173344:NM:2018-12-31 | Dec 31, 2018 | Apr 18, 2018 | FARMINGTON, NM | Firm change after gap |
| W••••••• S••••••••• A••••••• |
| Former SEC adviser |
| Jun 28, 2005 |
| Jun 16, 2015 |
| no |
| OKLAHOMA CITY, OK|FARMINGTON, NM |
| Previous registration |
| M••••• S•••••• D• I••• | n/a | Feb 8, 2000 | Dec 9, 2002 | no | FARMINGTON, NM | Previous registration |
| 0 |
| Firm change |
| Other |
| M••••• S•••••• D• I••• | W••••••• S••••••••• A••••••• | Dec 9, 2002 | Jun 28, 2005 | 932 | Firm change after gap | Other |