DFX Intelligence
Reading the graph
Reading the graph
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Advisor at D••• W••••• M•••••••••
PORTSMOUTH, NH
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••• W••••• M••••••••• | State registered | Aug 28, 2024 | n/a | yes | PORTSMOUTH, NH | Current employment |
| C•••••• D••••• P•••••• W••••• L•• | Independent wealth | Jun 8, 2021 | Nov 20, 2024 | no | PORTSMOUTH, NH | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| C•••••• D••••• P•••••• W••••• L•• | D••• W••••• M••••••••• | Nov 20, 2024 | Aug 28, 2024 | -84 | Firm change after gap | RIA to state RIA |
| F••••••• P••••••• A•• W•••••••• A••••••• | C•••••• D••••• P•••••• W••••• L•• | Jun 18, 2021 | Jun 8, 2021 |
| F••••••• P••••••• A•• W•••••••• A••••••• | Former SEC adviser | Jul 13, 2018 | Jun 18, 2021 | no | BOSTON, MA | Previous registration |
| S•••••••• A••••••• L•• | National bd RIA | Jan 5, 2012 | Jul 13, 2018 | no | MERRIMACK, NH | Previous registration |
| E••••• J•••• | National bd RIA | Aug 25, 2009 | Apr 8, 2011 | no | ST LOUIS, MO|ELIOT, ME | Previous registration |
| -10 |
| Firm change |
| Ibd to RIA |
| S•••••••• A••••••• L•• | F••••••• P••••••• A•• W•••••••• A••••••• | Jul 13, 2018 | Jul 13, 2018 | 0 | Bulk transfer | Ibd to new firm |
| E••••• J•••• | S•••••••• A••••••• L•• | Apr 8, 2011 | Jan 5, 2012 | 272 | Firm change | Ibd to ibd |