DFX Intelligence
Reading the graph
Reading the graph
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Advisor at S•••••••• A••••••• L••
STUARTS DRAFT, VA
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 |
|---|---|---|---|---|---|---|
| S•••••••• A••••••• L•• | National bd RIA | Mar 31, 2025 | n/a | yes | STUARTS DRAFT, VA | Current employment |
| F••••••• P••••••• A•• W•••••••• A••••••• | Former SEC adviser | Jan 28, 2020 | Mar 31, 2025 | no | GREENWOOD VILLAGE, CO |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| F••••••• P••••••• A•• W•••••••• A••••••• | S•••••••• A••••••• L•• | Mar 31, 2025 | Mar 31, 2025 | 0 | Bulk transfer | Ibd to ibd |
| W•••• I••••••••• A•••••••• L•• | F••••••• P••••••• A•• W•••••••• A••••••• | Feb 1, 2018 | Jan 28, 2020 |
| W•••• I••••••••• A•••••••• L•• | Other adviser | Sep 18, 2015 | Feb 1, 2018 | no | HARRISONBURG, VA|LINCROFT, NJ | Previous registration |
| L•• F•••••••• L•• | Bd affiliated wealth | Jan 7, 2015 | Sep 29, 2015 | no | HARRISONBURG, VA | Previous registration |
| R••••• F•••••••• | Former SEC adviser | Dec 10, 2014 | Dec 18, 2015 | no | HARRISONBURG, VA | Previous registration |
| 726 |
| Firm change after gap |
| Other |
| R••••• F•••••••• | L•• F•••••••• L•• | Dec 18, 2015 | Jan 7, 2015 | -345 | Firm change after gap | Other |
| L•• F•••••••• L•• | W•••• I••••••••• A•••••••• L•• | Sep 29, 2015 | Sep 18, 2015 | -11 | Firm change | Other |