DFX Intelligence
Reading the graph
Reading the graph
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Advisor at D••••• C•••••• M•••••••••
AMBLER, 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 |
|---|---|---|---|---|---|---|
| D••••• C•••••• M••••••••• | State registered | Nov 3, 2020 | n/a | yes | AMBLER, PA | Current employment |
| C••••••• M••••• L•• | Asset manager | Dec 13, 2017 | Jul 13, 2020 | no | Wynnewood, PA|NEW CASTLE, PA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| C••••••• M••••• L•• | D••••• C•••••• M••••••••• | Jul 13, 2020 | Nov 3, 2020 | 113 | Firm change | Other |
| I••••••• C•••••• M••••••••• L•• | C••••••• M••••• L•• | Mar 27, 2018 | Dec 13, 2017 |
| I••••••• C•••••• M••••••••• L•• | Independent wealth | Mar 17, 2016 | Mar 27, 2018 | no | CONSHOHOCKEN, PA | Previous registration |
| A•• C•••••• M••••••••• | Former SEC adviser | May 15, 2015 | Jun 1, 2016 | no | MECHANICSBURG, PA | Previous registration |
| W••• C•••••• A•••• M••••••••• I••• | Former SEC adviser | Sep 11, 2014 | Dec 10, 2015 | no | PHILADELPHIA, PA|W••• C••••••, PA | Previous registration |
| D••••• C•••••• M••••••••• | State registered | Jun 26, 2014 | Dec 31, 2017 | no | ABINGTON, PA|AMBLER, PA | Previous registration |
| A•••••••• W••••• A••••••• I•• | Other adviser | Sep 28, 2012 | Feb 5, 2013 | no | JOHNSTOWN, PA | Previous registration |
| G••••••• I••••••••• M••••••••• L• | Mixed wealth | Mar 20, 2007 | Apr 3, 2008 | no | PHILADELPHIA, PA | Previous registration |
| A••••• C•••••• M••••••••• | n/a | Aug 8, 2003 | Apr 29, 2004 | no | BERWYN, PA | Previous registration |
| -104 |
| Firm change after gap |
| Other |
| D••••• C•••••• M••••••••• | W••• C•••••• A•••• M••••••••• I••• | Dec 31, 2017 | Sep 11, 2014 | -1,207 | Firm change after gap | Other |
| A•• C•••••• M••••••••• | I••••••• C•••••• M••••••••• L•• | Jun 1, 2016 | Mar 17, 2016 | -76 | Firm change after gap | Other |
| W••• C•••••• A•••• M••••••••• I••• | A•• C•••••• M••••••••• | Dec 10, 2015 | May 15, 2015 | -209 | Firm change after gap | Other |
| A•••••••• W••••• A••••••• I•• | D••••• C•••••• M••••••••• | Feb 5, 2013 | Jun 26, 2014 | 506 | Firm change after gap | Other |
| G••••••• I••••••••• M••••••••• L• | A•••••••• W••••• A••••••• I•• | Apr 3, 2008 | Sep 28, 2012 | 1,639 | Firm change after gap | Other |
| A••••• C•••••• M••••••••• | G••••••• I••••••••• M••••••••• L• | Apr 29, 2004 | Mar 20, 2007 | 1,055 | Firm change after gap | Other |