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Reading the graph
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Advisor at G••• F•• W••••• A•••••••• L••
ROCKLAND, DE
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 |
|---|---|---|---|---|---|---|
| G••• F•• W••••• A•••••••• L•• | Independent wealth | Jul 27, 2023 | n/a | yes | ROCKLAND, DE | Current employment |
| O•••• P•••••••• S••••••••• L•• | Bd affiliated wealth | Jan 17, 2023 | Jul 12, 2023 | no | Berwyn, PA|OMAHA, NE |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| O•••• P•••••••• S••••••••• L•• | G••• F•• W••••• A•••••••• L•• | Jul 12, 2023 | Jul 27, 2023 | 15 | Firm change | Ibd to RIA |
| O•••• P•••••••• S••••••••• L•• | O•••• P•••••••• S••••••••• L•• | Jan 6, 2023 | Jan 17, 2023 |
| O•••• P•••••••• S••••••••• L•• | Former SEC adviser | Jan 10, 2022 | Jan 6, 2023 | no | Berwyn, PA|OMAHA, NE | Previous registration |
| O•••• P•••••••• S••••••••• L•• | Bd affiliated wealth | Oct 19, 2020 | Dec 31, 2021 | no | OMAHA, NE | Previous registration |
| B•••••• C•••••• I•• | Former SEC adviser | Oct 6, 2017 | Oct 16, 2020 | no | BERWYN, PA | Previous registration |
| 11 |
| Bulk transfer |
| RIA to ibd |
| O•••• P•••••••• S••••••••• L•• | O•••• P•••••••• S••••••••• L•• | Dec 31, 2021 | Jan 10, 2022 | 10 | Bulk transfer | Ibd to RIA |
| B•••••• C•••••• I•• | O•••• P•••••••• S••••••••• L•• | Oct 16, 2020 | Oct 19, 2020 | 3 | Bulk transfer | Ibd to ibd |