DFX Intelligence
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Reading the graph
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Advisor at L•••• C•••••• M••••••••• I•••
NEWTOWN SQUARE, 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 |
|---|---|---|---|---|---|---|
| L•••• C•••••• M••••••••• I••• | Mixed wealth | Sep 1, 2010 | n/a | yes | NEWTOWN SQUARE, PA | Current employment |
| C••••••••• C•••••• A•••••••• L•• | Former SEC adviser | Jun 2, 2008 | Nov 20, 2009 | no | NEWTOWN, PA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| C••••••••• C•••••• A•••••••• L•• | L•••• C•••••• M••••••••• I••• | Nov 20, 2009 | Sep 1, 2010 | 285 | Firm change | Other |
| B•• M••••• S••••••••• C••••••••• | C••••••••• C•••••• A•••••••• L•• | Jun 10, 2008 | Jun 2, 2008 |
| B•• M••••• S••••••••• C••••••••• | Other adviser | Jul 2, 2007 | Jun 10, 2008 | no | PHILADELPHIA, PA | Previous registration |
| M•••• L•• | n/a | Mar 11, 2003 | Jul 2, 2007 | no | PHILADELPHIA, PA|PHILADELPHIA, PA|NEW YORK, NY | Previous registration |
| -8 |
| Firm change |
| Other |
| M•••• L•• | B•• M••••• S••••••••• C••••••••• | Jul 2, 2007 | Jul 2, 2007 | 0 | Firm change | Other |