DFX Intelligence
Data Factory
Reading the graph
Reading the graph
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Advisor at S••••• I••••••••• A•••••••• L••
ST. GEORGE, UT | Marshfield, 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••••• I••••••••• A•••••••• L•• | Independent wealth | Feb 3, 2022 | n/a | yes | ST. GEORGE, UT|Marshfield, MA | Current employment |
| G•••• S••••• C•••••• A••••••• | Former SEC adviser | Dec 13, 2018 | Dec 17, 2019 | no |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| G•••• S••••• C•••••• A••••••• | S••••• I••••••••• A•••••••• L•• | Dec 17, 2019 | Feb 3, 2022 | 779 | Firm change after gap | RIA to RIA |
| H•••••• J• S••• C•••••• M••••••••• I••• | G•••• S••••• C•••••• A••••••• | Feb 27, 2018 |
| Previous registration |
| H•••••• J• S••• C•••••• M••••••••• I••• | Independent wealth | Apr 21, 2017 | Feb 27, 2018 | no | Boston, MA|FAIRFIELD, CT | Previous registration |
| G•••••••• I••••••••• M••••••••• I••• | Former SEC adviser | Apr 28, 2014 | Apr 28, 2017 | no | MARSHFIELD, MA|NORWALK, CT | Previous registration |
| C•••••• M••••• C••••••••• I••• | State registered | Jun 24, 2013 | Dec 31, 2013 | no | MARSHFIELD, MA|LAS CRUCES, NM | Previous registration |
| F••• M••••••• C••••••• L•• | n/a | Aug 13, 2012 | Apr 9, 2014 | no | MARSHFIELD, MA | Previous registration |
| C••••••• M••••••••• A•••••••• I••• | n/a | Sep 17, 2003 | Sep 2, 2004 | no | BOSTON, MA | Previous registration |
| B••• O• A•••••• S••••••••• L•• | n/a | Feb 13, 2002 | Jul 1, 2002 | no | BOSTON, MA | Previous registration |
| Dec 13, 2018 |
| 289 |
| Firm change |
| Other |
| G•••••••• I••••••••• M••••••••• I••• | H•••••• J• S••• C•••••• M••••••••• I••• | Apr 28, 2017 | Apr 21, 2017 | -7 | Firm change | Other |
| F••• M••••••• C••••••• L•• | C•••••• M••••• C••••••••• I••• | Apr 9, 2014 | Jun 24, 2013 | -289 | Firm change after gap | Other |
| C•••••• M••••• C••••••••• I••• | G•••••••• I••••••••• M••••••••• I••• | Dec 31, 2013 | Apr 28, 2014 | 118 | Firm change | Other |
| C••••••• M••••••••• A•••••••• I••• | F••• M••••••• C••••••• L•• | Sep 2, 2004 | Aug 13, 2012 | 2,902 | Firm change after gap | Other |
| B••• O• A•••••• S••••••••• L•• | C••••••• M••••••••• A•••••••• I••• | Jul 1, 2002 | Sep 17, 2003 | 443 | Firm change after gap | Other |