DFX Intelligence
Reading the graph
Reading the graph
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Advisor at C•••••• R••••••• A••••••• L•••
PORTLAND, ME
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•••••• R••••••• A••••••• L••• | State registered | Aug 18, 2025 | n/a | yes | PORTLAND, ME | Current employment |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Wirehouse | Mar 29, 2023 | Oct 24, 2024 | no | PORTLAND, ME |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | C•••••• R••••••• A••••••• L••• | Oct 24, 2024 | Aug 18, 2025 | 298 | Firm change | Wirehouse to state RIA |
| C•••••• S••••• • C••• I••• | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Apr 13, 2023 |
| C•••••• S••••• • C••• I••• | National bd RIA | Sep 15, 2005 | Apr 13, 2023 | no | JERSEY CITY, NJ|Red Bank, NJ|Jersey City, NJ|Millburn, NJ|Bedford, NH|Portland, ME | Previous registration |
| B••• O• A•••••• I••••••••• S•••••••• I••• | n/a | Oct 20, 2004 | Jul 13, 2005 | no | SUMMIT, NJ | Previous registration |
| Q•••• • R•••••• I••• | n/a | Sep 4, 2002 | Oct 20, 2004 | no | RIDGE, NJ | Previous registration |
| -15 |
| Firm change |
| Ibd to wirehouse |
| B••• O• A•••••• I••••••••• S•••••••• I••• | C•••••• S••••• • C••• I••• | Jul 13, 2005 | Sep 15, 2005 | 64 | Firm change | Other |
| Q•••• • R•••••• I••• | B••• O• A•••••• I••••••••• S•••••••• I••• | Oct 20, 2004 | Oct 20, 2004 | 0 | Bulk transfer | Other |