DFX Intelligence
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Reading the graph
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Advisor at C••••• I••••••••• A••••••• L••
ELLICOTT CITY, MD
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 |
|---|---|---|---|---|---|---|
| C••••• I••••••••• A••••••• L•• | Bd affiliated wealth | Sep 5, 2025 | n/a | yes | ELLICOTT CITY, MD | Current employment |
| A•••••• A••••••• S••••••• | Former SEC adviser | Oct 25, 2019 | Sep 5, 2025 | no | IRVING, TX|DALLAS, TX|ELLICOTT CITY, MD |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| A•••••• A••••••• S••••••• | C••••• I••••••••• A••••••• L•• | Sep 5, 2025 | Sep 5, 2025 | 0 | Bulk transfer | Ibd to ibd |
| 1•• G••••• A••••••• I•• | A•••••• A••••••• S••••••• | Oct 25, 2019 | Oct 25, 2019 |
| 1•• G••••• A••••••• I•• | Former SEC adviser | Dec 21, 2007 | Oct 25, 2019 | no | TIMONIUM, MD|HUNT VALLEY, MD | Previous registration |
| N•• E•••••• S••••••••• C••••••••• | Former SEC adviser | May 15, 2002 | Dec 19, 2007 | no | TIMONIUM, MD|HUNT VALLEY, MD|HUNT VALLEY, MD | Previous registration |
| 0 |
| Bulk transfer |
| Ibd to ibd |
| N•• E•••••• S••••••••• C••••••••• | 1•• G••••• A••••••• I•• | Dec 19, 2007 | Dec 21, 2007 | 2 | Firm change | Other |