DFX Intelligence
Reading the graph
Reading the graph
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Advisor at B••••• P••••• A•••••••• L••
Summitt, NJ | NEWPORT BEACH, CA
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 |
|---|---|---|---|---|---|---|
| B••••• P••••• A•••••••• L•• | Independent wealth | Apr 22, 2019 | n/a | yes | Summitt, NJ|NEWPORT BEACH, CA | Current employment |
| B••••• P••••• W••••• A•••••••• L•• | Former SEC adviser | Apr 22, 2019 | Apr 27, 2020 | no | Summit, NJ|NEWPORT BEACH, CA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| B••••• P••••• W••••• A•••••••• L•• | B••••• P••••• A•••••••• L•• | Apr 27, 2020 | Apr 22, 2019 | -371 | Bulk transfer | RIA to RIA |
| H••••• W••••• A•••••••• L••• | B••••• P••••• W••••• A•••••••• L•• | May 7, 2019 | Apr 22, 2019 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 153730:151328:NJ:2019-05-07 | May 7, 2019 | Apr 22, 2019 | SUMMIT, NJ | Firm change |
| H••••• W••••• A•••••••• L••• | Former SEC adviser | Mar 23, 2017 | May 7, 2019 | no | SUMMIT, NJ | Previous registration |
| T•• P••••• S••••••••• | Asset manager | Jun 21, 2013 | Jul 24, 2014 | no | FLEMINGTON, NJ | Previous registration |
| P••••••• W••••• M••••••••• G••••• L•• | Independent wealth | Jun 21, 2013 | Jul 24, 2014 | no | FLEMINGTON, NJ | Previous registration |
| A••• W••••• S••••••••• | Former SEC adviser | Oct 13, 2005 | May 7, 2013 | no | WATCHUNG, NJ | Previous registration |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Wirehouse | May 2, 2002 | Aug 30, 2002 | no | SOMERSET, NJ | Previous registration |
| -15 |
| Firm change |
| RIA to RIA |
| P••••••• W••••• M••••••••• G••••• L•• | H••••• W••••• A•••••••• L••• | Jul 24, 2014 | Mar 23, 2017 | 973 | Firm change after gap | Other |
| T•• P••••• S••••••••• | P••••••• W••••• M••••••••• G••••• L•• | Jul 24, 2014 | Jun 21, 2013 | -398 | Firm change after gap | Other |
| A••• W••••• S••••••••• | T•• P••••• S••••••••• | May 7, 2013 | Jun 21, 2013 | 45 | Firm change | Other |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | A••• W••••• S••••••••• | Aug 30, 2002 | Oct 13, 2005 | 1,140 | Firm change after gap | Other |