DFX Intelligence
Reading the graph
Reading the graph
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Advisor at W••••••••• C•••••• M••••••••• L••
Vero Beach, FL | RICHMOND, 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 |
|---|---|---|---|---|---|---|
| W••••••••• C•••••• M••••••••• L•• | Independent wealth | Jun 4, 2019 | n/a | yes | RICHMOND, VA|Vero Beach, FL | Current employment |
| S•••••••• I••••••••• L•• | Former SEC adviser | Apr 8, 2011 | Mar 31, 2014 | no | MALVERN, PA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| S•••••••• I••••••••• L•• | W••••••••• C•••••• M••••••••• L•• | Mar 31, 2014 | Jun 4, 2019 | 1,891 | Firm change after gap | Other |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | S•••••••• I••••••••• L•• | Apr 12, 2011 | Apr 8, 2011 |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Wirehouse | Jul 2, 2003 | Apr 12, 2011 | no | PHILADELPHIA, PA|PHILADELPHIA, PA | Previous registration |
| C••••• S••••• S••••••••• •••• L•• | Former SEC adviser | Jan 17, 2003 | Jul 25, 2003 | no | NEW YORK, NY | Previous registration |
| P••••••• L•• | n/a | Jul 25, 2002 | Jan 17, 2003 | no | BALA CYNWYD, PA | Previous registration |
| -4 |
| Firm change |
| Other |
| C••••• S••••• S••••••••• •••• L•• | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Jul 25, 2003 | Jul 2, 2003 | -23 | Firm change | Other |
| P••••••• L•• | C••••• S••••• S••••••••• •••• L•• | Jan 17, 2003 | Jan 17, 2003 | 0 | Bulk transfer | Other |