DFX Intelligence
Reading the graph
Reading the graph
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Advisor at O•••• W•••••• I•••
KINGSTON, MA
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 |
|---|---|---|---|---|---|---|
| O•••• W•••••• I••• | Bd affiliated wealth | Nov 14, 2018 | n/a | yes | KINGSTON, MA | Current employment |
| S••••••• I••••••••• I••• | Former SEC adviser | Dec 28, 2015 | Dec 31, 2017 | no | KINGSTON, MA|Bellevue, WA|BOSTON, MA|BOSTON, MA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| S••••••• I••••••••• I••• | O•••• W•••••• I••• | Dec 31, 2017 | Nov 14, 2018 | 318 | Firm change | Other |
| S••••••• F•••••••• S•••••••• I••• | S••••••• I••••••••• I••• | Dec 28, 2015 | Dec 28, 2015 |
| S••••••• F•••••••• S•••••••• I••• | Former SEC adviser | Mar 16, 2011 | Dec 28, 2015 | no | Bellevue, WA|KINGSTON, MA | Previous registration |
| O•••• F•• I••• | Former SEC adviser | Nov 14, 2006 | Dec 10, 2010 | no | KINGSTON, MA|KINGSTON, MA|LACONIA, NH | Previous registration |
| W••••••••• F•••••••• G••••• I••• | n/a | Aug 19, 2005 | Nov 9, 2006 | no | KINGSTON, MA|KINGSTON, MA | Previous registration |
| W•••••••• F•••••••• S•••••••• L•• | n/a | Nov 10, 2004 | Jul 28, 2005 | no | KINGSTON, MA | Previous registration |
| F•• S••••••••• C••••••••• | Former SEC adviser | Jan 1, 2000 | Oct 8, 2004 | no | KINGSTON, MA | Previous registration |
| 0 |
| Bulk transfer |
| Other |
| O•••• F•• I••• | S••••••• F•••••••• S•••••••• I••• | Dec 10, 2010 | Mar 16, 2011 | 96 | Firm change | Other |
| W••••••••• F•••••••• G••••• I••• | O•••• F•• I••• | Nov 9, 2006 | Nov 14, 2006 | 5 | Firm change | Other |
| W•••••••• F•••••••• S•••••••• L•• | W••••••••• F•••••••• G••••• I••• | Jul 28, 2005 | Aug 19, 2005 | 22 | Firm change | Other |
| F•• S••••••••• C••••••••• | W•••••••• F•••••••• S•••••••• L•• | Oct 8, 2004 | Nov 10, 2004 | 33 | Firm change | Other |