DFX Intelligence
Reading the graph
Reading the graph
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Advisor at A••••••• W••••• A•••••• S••••••••
CHARLOTTE, NC | Merrimac, MA
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••••• A•••••• S•••••••• | Asset manager | Apr 22, 2024 | n/a | yes | CHARLOTTE, NC|Merrimac, MA | Current employment |
| O•••• W•••••• I••• | Bd affiliated wealth | Jun 4, 2019 | Dec 17, 2019 | no | MERRIMAC, MA|SCOTTSDALE, AZ |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| O•••• W•••••• I••• | A••••••• W••••• A•••••• S•••••••• | Dec 17, 2019 | Apr 22, 2024 | 1,588 | Firm change after gap | Other |
| V••• F•••••••• A•••••••• I••• | O•••• W•••••• I••• | Feb 4, 2019 | Jun 4, 2019 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 30613:2882:MA:2016-02-16 | Feb 16, 2016 | Apr 12, 2016 | LYNNFIELD, MA | Firm change |
| V••• F•••••••• A•••••••• I••• | Bd affiliated wealth | Apr 12, 2016 | Feb 4, 2019 | no | MERRIMAC, MA|BRAINTREE, MA | Previous registration |
| I•••••••• C•••••• A••••••• | Former SEC adviser | Sep 24, 2004 | Feb 16, 2016 | no | LYNNFIELD, MA|LYNNFIELD, MA | Previous registration |
| 120 |
| Firm change |
| Ibd to ibd |
| I•••••••• C•••••• A••••••• | V••• F•••••••• A•••••••• I••• | Feb 16, 2016 | Apr 12, 2016 | 56 | Firm change | Other |