DFX Intelligence
Reading the graph
Reading the graph
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Advisor at A•••••• W••••• M••••••••• L••
MOUNT PLEASANT, SC | Rockville, MD
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 |
|---|---|---|---|---|---|---|
| A•••••• W••••• M••••••••• L•• | Independent wealth | Sep 9, 2026 | n/a | yes | Rockville, MD|MOUNT PLEASANT, SC | Current employment |
| A•••••• W••••• M••••••••• L•• | Independent wealth | Sep 9, 2026 | n/a | yes | MOUNT PLEASANT, SC|Rockville, MD |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| C••••••••• F•••••••• N•••••• | A•••••• W••••• M••••••••• L•• | Sep 14, 2026 | Sep 9, 2026 | -5 | Firm change | Ibd to RIA |
| G•••• P•••• A•••••••• L•• | C••••••••• F•••••••• N•••••• | Sep 9, 2021 | Sep 8, 2021 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 8032:291902:MD:2026-09-14 | Sep 14, 2026 | Sep 9, 2026 | ROCKVILLE, MD | Firm change |
| 313171:8032:MD:2021-09-09 | Sep 9, 2021 | Sep 8, 2021 | ROCKVILLE, MD | Firm change |
| C••••••••• F•••••••• N•••••• | National bd RIA | Sep 8, 2021 | n/a | yes | Rockville, MD | Current employment |
| C••••••••• F•••••••• N•••••• | National bd RIA | Sep 8, 2021 | Sep 14, 2026 | no | Rockville, MD|WALTHAM, MA | Previous registration |
| G•••• P•••• A•••••••• L•• | Former SEC adviser | Apr 1, 2021 | Sep 9, 2021 | no | ROCKVILLE, MD|Rockville, MD|ROCKVILLE, MD | Previous registration |
| G•••• P•••• A•••••••• L•• | Former SEC adviser | Apr 1, 2021 | Sep 9, 2021 | no | Rockville, MD|ROCKVILLE, MD|ROCKVILLE, MD | Previous registration |
| H• B•••• I••• | Former SEC adviser | Sep 23, 2005 | Apr 1, 2021 | no | BETHESDA, MD|ROCKVILLE, MD|BETHESDA, MD | Previous registration |
| S•••••••• P••••••• G••••• I••• | n/a | Aug 2, 2004 | Oct 18, 2005 | no | BETHESDA, MD | Previous registration |
| S•••••••• P••••••• G••••• I••• | n/a | Aug 2, 2004 | Oct 18, 2005 | no | BETHESDA, MD | Previous registration |
| B••• O• A•••••• I••••••••• S•••••••• I••• | n/a | Mar 4, 2003 | May 19, 2004 | no | CHEVY CHASE, MD | Previous registration |
| B••• O• A•••••• I••••••••• S•••••••• I••• | n/a | Mar 4, 2003 | May 19, 2004 | no | CHEVY CHASE, MD | Previous registration |
| S••••••• I••••••••• S•••••••• I••• | Former SEC adviser | Feb 21, 2003 | Mar 17, 2003 | no | CHEVY CHASE, MD | Previous registration |
| S••••••• I••••••••• S•••••••• I••• | Former SEC adviser | Feb 21, 2003 | Mar 17, 2003 | no | CHEVY CHASE, MD | Previous registration |
| -1 |
| Firm change |
| Ibd to ibd |
| H• B•••• I••• | G•••• P•••• A•••••••• L•• | Apr 1, 2021 | Apr 1, 2021 | 0 | Bulk transfer | Ibd to ibd |
| S•••••••• P••••••• G••••• I••• | H• B•••• I••• | Oct 18, 2005 | Sep 23, 2005 | -25 | Firm change | Other |
| B••• O• A•••••• I••••••••• S•••••••• I••• | S•••••••• P••••••• G••••• I••• | May 19, 2004 | Aug 2, 2004 | 75 | Firm change | Other |
| S••••••• I••••••••• S•••••••• I••• | B••• O• A•••••• I••••••••• S•••••••• I••• | Mar 17, 2003 | Mar 4, 2003 | -13 | Firm change | Other |