DFX Intelligence
Reading the graph
Reading the graph
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Advisor at C•••••• S••••• • C••• I•••
Purcellville, VA | Westlake, TX
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 |
|---|---|---|---|---|---|---|
| C•••••• S••••• • C••• I••• | National bd RIA | Oct 25, 2016 | n/a | yes | Purcellville, VA|Westlake, TX | Current employment |
| T• A••••••••• I••• | Former SEC adviser | Mar 14, 2022 | Oct 14, 2022 | no | Reston, VA|OMAHA, NE|RESTON, VA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| T• A••••••••• I••• | n/a | Oct 14, 2022 | n/a | n/a | Departure no registered destination | Departure |
| A••••••••• F•••••••• S•••••••• L•• | C•••••• S••••• • C••• I••• | Sep 30, 2016 | Oct 25, 2016 | 25 |
| A••••••••• F•••••••• S•••••••• L•• | National bd RIA | Nov 10, 2014 | Sep 30, 2016 | no | VIENNA, VA | Previous registration |
| W•••••• • R••• | Former SEC adviser | Aug 3, 2012 | Nov 19, 2014 | no | VIENNA, VA | Previous registration |
| M••••• S•••••• | Wirehouse | Jun 1, 2009 | Aug 8, 2012 | no | Mount Laurel, NJ | Previous registration |
| C•••••••• G••••• M•••••• I••• | Bd affiliated wealth | Oct 17, 2008 | Jun 1, 2009 | no | MT. LAUREL, NJ | Previous registration |
| U•• F•••••••• S••••••• I••• | Wirehouse | Nov 7, 2006 | Oct 24, 2008 | no | MT. LAUREL, NJ | Previous registration |
| R••••••••• A•••• M••••••••• I••• | n/a | Sep 13, 2006 | Oct 6, 2006 | no | RADNOR, PA | Previous registration |
| C•••••••• G••••• M•••••• I••• | Bd affiliated wealth | Jun 28, 2004 | Jul 21, 2006 | no | MOUNT LAUREL, NJ|MT. LAUREL, NJ | Previous registration |
| Firm change |
| Ibd to ibd |
| W•••••• • R••• | A••••••••• F•••••••• S•••••••• L•• | Nov 19, 2014 | Nov 10, 2014 | -9 | Firm change | Other |
| M••••• S•••••• | W•••••• • R••• | Aug 8, 2012 | Aug 3, 2012 | -5 | Firm change | Other |
| C•••••••• G••••• M•••••• I••• | M••••• S•••••• | Jun 1, 2009 | Jun 1, 2009 | 0 | Bulk transfer | Other |
| U•• F•••••••• S••••••• I••• | C•••••••• G••••• M•••••• I••• | Oct 24, 2008 | Oct 17, 2008 | -7 | Firm change | Other |
| R••••••••• A•••• M••••••••• I••• | U•• F•••••••• S••••••• I••• | Oct 6, 2006 | Nov 7, 2006 | 32 | Firm change | Other |
| C•••••••• G••••• M•••••• I••• | R••••••••• A•••• M••••••••• I••• | Jul 21, 2006 | Sep 13, 2006 | 54 | Firm change | Other |