DFX Intelligence
Reading the graph
Reading the graph
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Advisor at A• W••••• M••••••••• L••
Northampton, 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 |
|---|---|---|---|---|---|---|
| A• W••••• M••••••••• L•• | Bd affiliated wealth | Oct 23, 2018 | n/a | yes | Northampton, MA | Current employment |
| W••••••• I••••••••• M••••••••• L•• | Independent wealth | Mar 2, 2015 | Sep 25, 2018 | no | NORTHAMPTON, MA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| W••••••• I••••••••• M••••••••• L•• | A• W••••• M••••••••• L•• | Sep 25, 2018 | Oct 23, 2018 | 28 | Firm change | RIA to RIA |
| L•• O••••• O• W••••• E• B•• | G••••• F•••••••• P•••••• C••••••• I••• | Dec 31, 2014 | Jul 29, 2011 |
| G••••• F•••••••• P•••••• C••••••• I••• | Former SEC adviser | Jul 29, 2011 | Oct 12, 2012 | no | NORTHHAMPTON, MA|SARASOTA, FL | Previous registration |
| L•• O••••• O• W••••• E• B•• | n/a | May 13, 2011 | Dec 31, 2014 | no | NORTHAMPTON, MA | Previous registration |
| -1,251 |
| Firm change after gap |
| Other |
| G••••• F•••••••• P•••••• C••••••• I••• | W••••••• I••••••••• M••••••••• L•• | Oct 12, 2012 | Mar 2, 2015 | 871 | Firm change after gap | Other |