DFX Intelligence
Reading the graph
Reading the graph
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Advisor at R•••••• C•••••• M••••••••• I•••
CARY, NC
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 |
|---|---|---|---|---|---|---|
| R•••••• C•••••• M••••••••• I••• | Independent wealth | Jul 4, 2024 | n/a | yes | CARY, NC | Current employment |
| C••••• I••••••••• A••••••• L•• | Bd affiliated wealth | Nov 12, 2020 | Apr 18, 2024 | no | CARY, NC | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| C••••• I••••••••• A••••••• L•• | R•••••• C•••••• M••••••••• I••• | Apr 18, 2024 | Jul 4, 2024 | 77 | Firm change | Ibd to RIA |
| F•••• A••••• A••••••• S•••••••• I••• | C••••• I••••••••• A••••••• L•• | Nov 12, 2020 | Nov 12, 2020 |
| F•••• A••••• A••••••• S•••••••• I••• | Former SEC adviser | Oct 27, 2020 | Nov 12, 2020 | no | CARY, NC | Previous registration |
| F••••••• P••••••• A•• W•••••••• A••••••• | Former SEC adviser | Jul 13, 2018 | Oct 14, 2020 | no | BOSTON, MA | Previous registration |
| S•••••••• A••••••• L•• | National bd RIA | Jan 4, 2017 | Jul 13, 2018 | no | DURHAM, NC | Previous registration |
| 0 |
| Bulk transfer |
| Ibd to ibd |
| F••••••• P••••••• A•• W•••••••• A••••••• | F•••• A••••• A••••••• S•••••••• I••• | Oct 14, 2020 | Oct 27, 2020 | 13 | Firm change | Ibd to ibd |
| S•••••••• A••••••• L•• | F••••••• P••••••• A•• W•••••••• A••••••• | Jul 13, 2018 | Jul 13, 2018 | 0 | Bulk transfer | Ibd to new firm |