DFX Intelligence
Reading the graph
Reading the graph
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Advisor at S••••••• A•••• M••••••••• L••
WALLINGFORD, CT | VILLANOVA, 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 |
|---|---|---|---|---|---|---|
| S••••••• A•••• M••••••••• L•• | State registered | Jun 8, 2026 | n/a | yes | VILLANOVA, PA|WALLINGFORD, CT | Current employment |
| C••••• I••••••••• A••••••• L•• | Bd affiliated wealth | Nov 12, 2020 | Dec 11, 2024 | no | NORTH WALES, PA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| C••••• I••••••••• A••••••• L•• | S••••••• A•••• M••••••••• L•• | Dec 11, 2024 | Jun 8, 2026 | 544 | Firm change after gap | Ibd to state RIA |
| F•••• A••••• A••••••• S•••••••• I••• | C••••• I••••••••• A••••••• L•• | Nov 12, 2020 | Nov 12, 2020 |
| F•••• A••••• A••••••• S•••••••• I••• | Former SEC adviser | Jul 2, 2012 | Nov 12, 2020 | no | DOYLESTOWN, PA|DOYLESTOWN, PA|DOYLESTOWN, PA | Previous registration |
| F•••• A••••• S••••••••• I••• | Former SEC adviser | Apr 21, 2006 | Jul 2, 2012 | no | SAN DIEGO, CA|DOYLESTOWN, PA | Previous registration |
| 0 |
| Bulk transfer |
| Ibd to ibd |
| F•••• A••••• S••••••••• I••• | F•••• A••••• A••••••• S•••••••• I••• | Jul 2, 2012 | Jul 2, 2012 | 0 | Bulk transfer | Other |