DFX Intelligence
Reading the graph
Reading the graph
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Advisor at P••••••••• P••••••• G••••
WESTERLY, RI
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 |
|---|---|---|---|---|---|---|
| P••••••••• P••••••• G•••• | Independent wealth | Apr 4, 2025 | n/a | yes | WESTERLY, RI | Current employment |
| C•••••• S••••• • C••• I••• | National bd RIA | Jan 26, 2022 | Mar 5, 2025 | no | Providence, RI | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| C•••••• S••••• • C••• I••• | P••••••••• P••••••• G•••• | Mar 5, 2025 | Apr 4, 2025 | 30 | Firm change | Ibd to RIA |
| T• A••••••••• I••••••••• M••••••••• L•• | C•••••• S••••• • C••• I••• | Sep 7, 2023 | Jan 26, 2022 |
| T• A••••••••• I••••••••• M••••••••• L•• | Former SEC adviser | Oct 15, 2013 | Sep 7, 2023 | no | Brookfield, CT|PROVIDENCE, RI|PROVIDENCE, RI | Previous registration |
| T• A••••••••• I••• | Former SEC adviser | Oct 15, 2013 | Oct 14, 2022 | no | West Hartford, CT|BROOKFIELD, CT|San Diego, CA|Providence, RI|OMAHA, NE | Previous registration |
| V••• F•••••••• A•••••••• I••• | Bd affiliated wealth | Dec 16, 2010 | Sep 19, 2013 | no | WINDSOR, CT|WINDSOR, CT|Windsor, CT | Previous registration |
| V••• F•••••••• P•••••••• L•• | Former SEC adviser | Jul 9, 2008 | Dec 31, 2010 | no | WINDSOR, CT | Previous registration |
| -589 |
| Bulk transfer |
| RIA to ibd |
| T• A••••••••• I••• | T• A••••••••• I••••••••• M••••••••• L•• | Oct 14, 2022 | Oct 15, 2013 | -3,286 | Bulk transfer | Other |
| V••• F•••••••• A•••••••• I••• | T• A••••••••• I••• | Sep 19, 2013 | Oct 15, 2013 | 26 | Firm change | Other |
| V••• F•••••••• P•••••••• L•• | V••• F•••••••• A•••••••• I••• | Dec 31, 2010 | Dec 16, 2010 | -15 | Firm change | Other |