DFX Intelligence
Reading the graph
Reading the graph
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Advisor at S•• W••••• M••••••••• L••
PLYMOUTH, MA
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 |
|---|---|---|---|---|---|---|
| S•• W••••• M••••••••• L•• | Independent wealth | Oct 10, 2018 | n/a | yes | PLYMOUTH, MA | Current employment |
| N•• E•••••• I••••••••• • R••••••••• G••••• I••• | Former SEC adviser | Nov 23, 2016 | Sep 19, 2018 | no | NORTH ANDOVER, MA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| N•• E•••••• I••••••••• • R••••••••• G••••• I••• | S•• W••••• M••••••••• L•• | Sep 19, 2018 | Oct 10, 2018 | 21 | Firm change | RIA to RIA |
| C••• P•••• W••••• M••••••••• | N•• E•••••• I••••••••• • R••••••••• G••••• I••• | Dec 31, 2016 |
| C••• P•••• W••••• M••••••••• | n/a | Apr 30, 2014 | Dec 31, 2016 | no | WINCHESTER, MA | Previous registration |
| N•• E•••••• I••••••••• • R••••••••• G••••• I••• | Former SEC adviser | Jun 29, 2009 | Apr 17, 2014 | no | NORTH ANDOVER, MA | Previous registration |
| C••••••••• F•••••••• N•••••• | National bd RIA | Jun 9, 2009 | Feb 4, 2011 | no | ROWLEY, MA | Previous registration |
| -38 |
| Firm change after gap |
| Other |
| N•• E•••••• I••••••••• • R••••••••• G••••• I••• | C••• P•••• W••••• M••••••••• | Apr 17, 2014 | Apr 30, 2014 | 13 | Firm change | Other |
| C••••••••• F•••••••• N•••••• | N•• E•••••• I••••••••• • R••••••••• G••••• I••• | Feb 4, 2011 | Jun 29, 2009 | -585 | Firm change after gap | Other |