DFX Intelligence
Reading the graph
Reading the graph
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Advisor at B•••••••• I••••••••• G••••
ROCHESTER, NH | PHOENIX, AZ
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 |
|---|---|---|---|---|---|---|
| B•••••••• I••••••••• G•••• | Independent wealth | Aug 19, 2025 | n/a | yes | PHOENIX, AZ|ROCHESTER, NH | Current employment |
| R•••••• P•••••• W••••• | Former SEC adviser | Jul 26, 2023 | Mar 28, 2025 | no | PHOENIX, AZ|ROCKLAND, MA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| R•••••• P•••••• W••••• | B•••••••• I••••••••• G•••• | Mar 28, 2025 | Aug 19, 2025 | 144 | Bulk transfer | RIA to RIA |
| S••••• I••••••••• M••••••••• L•• | R•••••• P•••••• W••••• | Jan 8, 2019 | Jul 26, 2023 |
| S••••• I••••••••• M••••••••• L•• | Independent wealth | Oct 3, 2017 | Jan 8, 2019 | no | Rockland, MA|TUCSON, AZ | Previous registration |
| B••••••••• W••••• A•••••••• L•• | No RAUM reported | May 27, 2014 | Sep 20, 2017 | no | ROCKLAND, MA | Previous registration |
| G••••••• A•••••••• L•• | Independent wealth | Apr 2, 2012 | May 1, 2014 | no | ROCKLAND, MA|ARDEN HILLS, MN | Previous registration |
| 1,660 |
| Firm change after gap |
| RIA to RIA |
| B••••••••• W••••• A•••••••• L•• | S••••• I••••••••• M••••••••• L•• | Sep 20, 2017 | Oct 3, 2017 | 13 | Firm change | Other |
| G••••••• A•••••••• L•• | B••••••••• W••••• A•••••••• L•• | May 1, 2014 | May 27, 2014 | 26 | Firm change | Other |