DFX Intelligence
Data Factory
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Reading the graph
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Advisor at B••••• P••••• A•••••••• L••
WALTHAM, MA | NEWPORT BEACH, CA
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••••• P••••• A•••••••• L•• | Independent wealth | Feb 21, 2019 | n/a | yes | WALTHAM, MA|NEWPORT BEACH, CA | Current employment |
| B••••• P••••• W••••• A•••••••• L•• | Former SEC adviser | Feb 21, 2019 | Apr 27, 2020 | no | WALTHAM, MA|NEWPORT BEACH, CA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| B••••• P••••• W••••• A•••••••• L•• | B••••• P••••• A•••••••• L•• | Apr 27, 2020 | Feb 21, 2019 | -431 | Bulk transfer | RIA to RIA |
| F•••••••• I••••••••• I•• | B••••• P••••• W••••• A•••••••• L•• | Aug 24, 2015 | Feb 21, 2019 |
| F•••••••• I••••••••• I•• | Former SEC adviser | Dec 4, 2009 | Aug 24, 2015 | no | n/a | Previous registration |
| T•• F•••••••• M••••••••• I•• | Independent wealth | Jan 18, 2008 | Nov 12, 2009 | no | BOSTON, MA | Previous registration |
| S•••••••• A••••••• L•• | National bd RIA | Jan 5, 2000 | Apr 9, 2009 | no | FRAMINGHAM, MA | Previous registration |
| 1,277 |
| Firm change after gap |
| Other |
| T•• F•••••••• M••••••••• I•• | F•••••••• I••••••••• I•• | Nov 12, 2009 | Dec 4, 2009 | 22 | Firm change | Other |
| S•••••••• A••••••• L•• | T•• F•••••••• M••••••••• I•• | Apr 9, 2009 | Jan 18, 2008 | -447 | Firm change after gap | Other |