DFX Intelligence
Reading the graph
Reading the graph
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Advisor at S••••• O•• S••••••••• I•••
Knoxville, TN
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 |
|---|---|---|---|---|---|---|
| S••••• O•• S••••••••• I••• | Bd affiliated wealth | Jul 9, 2024 | n/a | yes | Knoxville, TN|Knoxville, TN | Current employment |
| O•••• W•••••• I••• | Bd affiliated wealth | Jun 14, 2024 | Jul 8, 2024 | no | SCOTTSDALE, AZ | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| O•••• W•••••• I••• | S••••• O•• S••••••••• I••• | Jul 8, 2024 | Jul 9, 2024 | 1 | Firm change | Ibd to ibd |
| S••••••••• A•••••• A•••••••• I••• | O•••• W•••••• I••• | Jun 14, 2024 | Jun 14, 2024 |
| S••••••••• A•••••• A•••••••• I••• | Former SEC adviser | Nov 19, 2020 | Jun 14, 2024 | no | KNOXVILLE, TN | Previous registration |
| L•••••••• T••••••• A•••• M••••••••• I•• | Other adviser | Jul 21, 2020 | Nov 17, 2020 | no | Knoxville, TN | Previous registration |
| S•• A•••••••• I••• | Former SEC adviser | Jul 19, 2019 | Sep 18, 2020 | no | Knoxville, TN | Previous registration |
| 0 |
| Bulk transfer |
| Ibd to ibd |
| L•••••••• T••••••• A•••• M••••••••• I•• | S••••••••• A•••••• A•••••••• I••• | Nov 17, 2020 | Nov 19, 2020 | 2 | Channel change | RIA to ibd |
| S•• A•••••••• I••• | L•••••••• T••••••• A•••• M••••••••• I•• | Sep 18, 2020 | Jul 21, 2020 | -59 | Channel change | Ibd to RIA |