DFX Intelligence
Reading the graph
Reading the graph
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Advisor at L•• F•••••••• L••
READING, PA
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 |
|---|---|---|---|---|---|---|
| L•• F•••••••• L•• | Bd affiliated wealth | Aug 15, 2024 | n/a | yes | READING, PA | Current employment |
| A••••••• P••••••••• A•••••••• I•• | Former SEC adviser | Feb 11, 2020 | Aug 16, 2024 | no | HOLBROOK, NY | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| A••••••• P••••••••• A•••••••• I•• | L•• F•••••••• L•• | Aug 16, 2024 | Aug 15, 2024 | -1 | Firm change | Ibd to ibd |
| B••• S••••••••• L•• | A••••••• P••••••••• A•••••••• I•• | Feb 10, 2020 | Feb 11, 2020 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 105644:33856:IL:2016-07-12 | Jul 12, 2016 | Jul 13, 2016 | SCHAUMBURG, IL | Firm change |
| B••• S••••••••• L•• | Former SEC adviser | Jan 2, 2018 | Feb 10, 2020 | no | ELVERSON, PA|MORGANTOWN, PA|CHARLOTTE, NC|ALLENTOWN, PA|BOYERTOWN, PA|ROCKVILLE, MD | Previous registration |
| B••• I••••••••• S•••••••• I••• | Former SEC adviser | Jul 13, 2016 | Jan 2, 2018 | no | ELVERSON, PA|MORGANTOWN, PA|WOODSTOCK, GA|CHARLOTTE, NC|ALLENTOWN, PA|BOYERTOWN, PA | Previous registration |
| C••••• I••••••••• A••••••• L•• | Bd affiliated wealth | Jan 21, 2014 | Jul 12, 2016 | no | POTTSTOWN, PA|BOYERTOWN, PA|SCHAUMBURG, IL | Previous registration |
| C••••• I••••••••• S••••••• L•• | Former SEC adviser | May 1, 2012 | Jan 21, 2014 | no | POTTSTOWN, PA|POTTSTOWN, PA|POTTSTOWN, PA|WEST CHESTER, PA|WEST CHESTER, PA|EAGLE, PA|EXTON, PA|ELVERSON, PA|ALLENTOWN, PA|BOYERTOWN, PA | Previous registration |
| N••••••••• S••••••••• L•• | No RAUM reported | Apr 29, 2010 | May 1, 2012 | no | BOYERTOWN, PA|POTTSTOWN, PA | Previous registration |
| 1 |
| Firm change |
| Ibd to RIA |
| B••• I••••••••• S•••••••• I••• | B••• S••••••••• L•• | Jan 2, 2018 | Jan 2, 2018 | 0 | Bulk transfer | Other |
| C••••• I••••••••• A••••••• L•• | B••• I••••••••• S•••••••• I••• | Jul 12, 2016 | Jul 13, 2016 | 1 | Firm change | Other |
| C••••• I••••••••• S••••••• L•• | C••••• I••••••••• A••••••• L•• | Jan 21, 2014 | Jan 21, 2014 | 0 | Bulk transfer | Other |
| N••••••••• S••••••••• L•• | C••••• I••••••••• S••••••• L•• | May 1, 2012 | May 1, 2012 | 0 | Firm change | Other |