DFX Intelligence
Reading the graph
Reading the graph
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Advisor at G••••• A••••••• S•••••••• L••
KING OF PRUSSIA, 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 |
|---|---|---|---|---|---|---|
| G••••• A••••••• S•••••••• L•• | Independent wealth | Apr 8, 2024 | n/a | yes | KING OF PRUSSIA, PA | Current employment |
| V••••••• A•••••••• I••• | Bd affiliated wealth | Oct 11, 2022 | Mar 22, 2024 | no | MALVERN, PA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| V••••••• A•••••••• I••• | G••••• A••••••• S•••••••• L•• | Mar 22, 2024 | Apr 8, 2024 | 17 | Firm change | Ibd to RIA |
| F••••••• P••••••• A•• W•••••••• A••••••• | V••••••• A•••••••• I••• | Sep 20, 2022 | Oct 11, 2022 |
| F••••••• P••••••• A•• W•••••••• A••••••• | Former SEC adviser | Jul 13, 2018 | Sep 20, 2022 | no | BOSTON, MA | Previous registration |
| S•••••••• A••••••• L•• | National bd RIA | Feb 23, 2017 | Jul 13, 2018 | no | PRINCETON, NJ | Previous registration |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Wirehouse | Nov 12, 2015 | Feb 3, 2017 | no | PENNINGTON, NJ | Previous registration |
| 21 |
| Firm change |
| Ibd to ibd |
| S•••••••• A••••••• L•• | F••••••• P••••••• A•• W•••••••• A••••••• | Jul 13, 2018 | Jul 13, 2018 | 0 | Bulk transfer | Ibd to new firm |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | S•••••••• A••••••• L•• | Feb 3, 2017 | Feb 23, 2017 | 20 | Firm change | Wirehouse to ibd |