DFX Intelligence
Reading the graph
Reading the graph
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Advisor at W••••• E••••••••• A••••••• S•••••••• L••
••• Locked
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••••• E••••••••• A••••••• S•••••••• L•• | Bd affiliated wealth | Sep 11, 2023 | n/a | yes | PLYMOUTH, MN|NAPLES, FL|LITTLE SILVER, NJ | Current employment |
| F•••• C•••••• A••••••• G••••• L•• | Former SEC adviser | Dec 15, 2015 | Oct 13, 2023 | no | BLUE BELL, PA|Little Silver, NJ |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| F•••• C•••••• A••••••• G••••• L•• | W••••• E••••••••• A••••••• S•••••••• L•• | Oct 13, 2023 | Sep 11, 2023 | -32 | Firm change after gap | RIA to RIA |
| C••••• F••••••••• W••••• P•••••••• L•• | F•••• C•••••• A••••••• G••••• L•• | Nov 10, 2015 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 281322:116407:NJ:2023-10-13 | Oct 13, 2023 | Sep 11, 2023 | LITTLE SILVER, NJ | Firm change after gap |
| C••••• F••••••••• W••••• P•••••••• L•• | Former SEC adviser | Sep 13, 2013 | Nov 10, 2015 | no | NEW YORK, NY|SHREWSBURY, NJ | Previous registration |
| M•••••• | Bd affiliated wealth | Mar 2, 2011 | Jan 9, 2014 | no | OVERLAND PARK, KS | Previous registration |
| C••• W••••• M••••••••• L•• | n/a | May 24, 2010 | May 26, 2011 | no | CLEVELAND, OH | Previous registration |
| C••• R••••••••• P••• A••••••• S••••••• | Institutional manager | Sep 2, 2004 | Dec 9, 2011 | no | CLEVELAND, OH|PLYMOUTH MEETING, PA|NEW YORK, NY | Previous registration |
| C••••••••• A•••••••• I•• | Former SEC adviser | Dec 18, 2002 | Jun 2, 2004 | no | FAIR HAVEN, NJ | Previous registration |
| 35 |
| Firm change |
| Other |
| M•••••• | C••••• F••••••••• W••••• P•••••••• L•• | Jan 9, 2014 | Sep 13, 2013 | -118 | Firm change after gap | Other |
| C••• R••••••••• P••• A••••••• S••••••• | C••• W••••• M••••••••• L•• | Dec 9, 2011 | May 24, 2010 | -564 | Firm change after gap | Other |
| C••• W••••• M••••••••• L•• | M•••••• | May 26, 2011 | Mar 2, 2011 | -85 | Firm change after gap | Other |
| C••••••••• A•••••••• I•• | C••• R••••••••• P••• A••••••• S••••••• | Jun 2, 2004 | Sep 2, 2004 | 92 | Firm change | Other |