DFX Intelligence
Reading the graph
Reading the graph
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Advisor at O•••• W•••••• I•••
SMITHMILL, PA | HOUTZDALE, PA
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 |
|---|---|---|---|---|---|---|
| O•••• W•••••• I••• | Bd affiliated wealth | Jun 14, 2024 | n/a | yes | HOUTZDALE, PA|SMITHMILL, PA | Current employment |
| S••••••••• A•••••• A•••••••• I••• | Former SEC adviser | Jul 17, 2020 | Jun 14, 2024 | no | SMITHMILL, PA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| S••••••••• A•••••• A•••••••• I••• | O•••• W•••••• I••• | Jun 14, 2024 | Jun 14, 2024 | 0 | Bulk transfer | Ibd to ibd |
| I••••••••• A••••••• S••••••• I•• | S••••••••• A•••••• A•••••••• I••• | Jul 17, 2020 | Jul 17, 2020 |
| I••••••••• A••••••• S••••••• I•• | Former SEC adviser | Jan 22, 2014 | Jul 17, 2020 | no | SMITHMILL, PA | Previous registration |
| I•••••••• C•••••• A••••••• | Former SEC adviser | Sep 8, 2006 | Nov 28, 2006 | no | LYNNFIELD, MA|SMITHMILL, PA|SMITH MILL, PA | Previous registration |
| W••••••••• I••• | Independent wealth | Jan 29, 2004 | Mar 29, 2005 | no | SHIRLEYSBURG, PA | Previous registration |
| 0 |
| Bulk transfer |
| Ibd to ibd |
| I•••••••• C•••••• A••••••• | I••••••••• A••••••• S••••••• I•• | Nov 28, 2006 | Jan 22, 2014 | 2,612 | Firm change after gap | Other |
| W••••••••• I••• | I•••••••• C•••••• A••••••• | Mar 29, 2005 | Sep 8, 2006 | 528 | Firm change after gap | Other |