DFX Intelligence
Reading the graph
Reading the graph
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Advisor at T••••• W••••• M••••••••• L••
AUDUBON, 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 |
|---|---|---|---|---|---|---|
| T••••• W••••• M••••••••• L•• | Independent wealth | Apr 1, 2019 | n/a | yes | AUDUBON, PA | Current employment |
| U••••• C•••••• F•••••••• A••••••• | Independent wealth | Jul 2, 2014 | Mar 14, 2019 | no | NORTH WALES, PA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| U••••• C•••••• F•••••••• A••••••• | T••••• W••••• M••••••••• L•• | Mar 14, 2019 | Apr 1, 2019 | 18 | Firm change | RIA to RIA |
| S•• I••••••••• M••••••••• C••• | U••••• C•••••• F•••••••• A••••••• | Jun 17, 2014 | Jul 2, 2014 |
| S•• I••••••••• M••••••••• C••• | Mixed wealth | Jan 10, 2011 | Jun 17, 2014 | no | OAKS, PA | Previous registration |
| W•••••• • R••• | Former SEC adviser | Jul 30, 2002 | Oct 9, 2003 | no | ALLENTOWN, PA | Previous registration |
| 15 |
| Firm change |
| Other |
| W•••••• • R••• | S•• I••••••••• M••••••••• C••• | Oct 9, 2003 | Jan 10, 2011 | 2,650 | Firm change after gap | Other |