DFX Intelligence
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Reading the graph
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Advisor at D•••••••• • C•••••• L••
Harrisonburg, 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 |
|---|---|---|---|---|---|---|
| D•••••••• • C•••••• L•• | Bd affiliated wealth | Sep 27, 2021 | n/a | yes | Harrisonburg, VA | Current employment |
| F•••••••• W••••• M••••••••• L•• | Former SEC adviser | Mar 27, 2019 | Sep 28, 2021 | no | RESTON, VA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| F•••••••• W••••• M••••••••• L•• | D•••••••• • C•••••• L•• | Sep 28, 2021 | Sep 27, 2021 | -1 | Firm change | RIA to ibd |
| P•••••• A•••••• G••••• L•• | F•••••••• W••••• M••••••••• L•• | Apr 2, 2020 | Mar 27, 2019 |
| P•••••• A•••••• G••••• L•• | Bd affiliated wealth | Jan 5, 2017 | Apr 2, 2020 | no | FAIRFAX, VA|MORRISTOWN, NJ | Previous registration |
| W•••• I••••••••• A•••••••• L•• | Other adviser | Sep 17, 2015 | Feb 13, 2017 | no | HARRISONBURG, VA|LINCROFT, NJ | Previous registration |
| R••••• F•••••••• | Former SEC adviser | Apr 15, 2010 | Dec 18, 2015 | no | HARRISONBURG, VA | Previous registration |
| -372 |
| Firm change after gap |
| RIA to RIA |
| W•••• I••••••••• A•••••••• L•• | P•••••• A•••••• G••••• L•• | Feb 13, 2017 | Jan 5, 2017 | -39 | Firm change after gap | Other |
| R••••• F•••••••• | W•••• I••••••••• A•••••••• L•• | Dec 18, 2015 | Sep 17, 2015 | -92 | Firm change after gap | Other |