DFX Intelligence
Reading the graph
Reading the graph
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Advisor at S••••• M•••••••••
••• Locked
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 |
|---|---|---|---|---|---|---|
| S••••• M••••••••• | Independent wealth | Nov 1, 2024 | n/a | yes | NORTH LITTLE ROCK, AR|La Plata, MD | Current employment |
| I• A••••••• S•••••••• I••• | Former SEC adviser | Feb 5, 2015 | Nov 4, 2024 | no | WALDORF, MD|BEDMINSTER, NJ|LA PLATA, MD |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| I• A••••••• S•••••••• I••• | S••••• M••••••••• | Nov 4, 2024 | Nov 1, 2024 | -3 | Firm change | Ibd to RIA |
| S••••• A••••••• I••• | I• A••••••• S•••••••• I••• | Mar 2, 2015 | Feb 5, 2015 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 140190:127145:MD:2024-11-04 | Nov 4, 2024 | Nov 1, 2024 | LA PLATA, MD | Firm change |
| 174182:140190:AL:2015-03-02 | Mar 2, 2015 | Feb 5, 2015 | BIRMINGHAM, AL | Firm change |
| S••••• A••••••• I••• | Bd affiliated wealth | Jan 30, 2015 | Mar 2, 2015 | no | BIRMINGHAM, AL | Previous registration |
| S••••• A••• I••••••••• A•••••• S•••••••• I••• | Former SEC adviser | Sep 2, 2005 | Jan 30, 2015 | no | WALDORF, MD|WALDORF, MD|YOUNGSTOWN, OH | Previous registration |
| C•••••• I••••••••• A••••••• | Independent wealth | Oct 24, 2003 | Sep 9, 2005 | no | WALDORF, MD | Previous registration |
| T••••••••• F•••••••• A•••••••• L•• | Bd affiliated wealth | Feb 9, 2001 | Jul 16, 2003 | no | WALDORF, MD | Previous registration |
| -25 |
| Firm change |
| Other |
| S••••• A••• I••••••••• A•••••• S•••••••• I••• | S••••• A••••••• I••• | Jan 30, 2015 | Jan 30, 2015 | 0 | Bulk transfer | Other |
| C•••••• I••••••••• A••••••• | S••••• A••• I••••••••• A•••••• S•••••••• I••• | Sep 9, 2005 | Sep 2, 2005 | -7 | Firm change | Other |
| T••••••••• F•••••••• A•••••••• L•• | C•••••• I••••••••• A••••••• | Jul 16, 2003 | Oct 24, 2003 | 100 | Firm change | Other |