DFX Intelligence
Reading the graph
Reading the graph
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Advisor at C••••• B•••• W••••• M•••••••••
MANSFIELD, 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 |
|---|---|---|---|---|---|---|
| C••••• B•••• W••••• M••••••••• | State registered | Sep 23, 2022 | n/a | yes | MANSFIELD, MA | Current employment |
| N•••••••• A•••• M••••••••• | Independent wealth | Feb 11, 2022 | Dec 21, 2022 | no | Plainville, MA|MERCER ISLAND, WA|Mansfield, MA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| N•••••••• A•••• M••••••••• | C••••• B•••• W••••• M••••••••• | Dec 21, 2022 | Sep 23, 2022 | -89 | Firm change after gap | RIA to state RIA |
| S•••• S••••• W••••• M••••••••• | N•••••••• A•••• M••••••••• | Feb 25, 2022 | Feb 11, 2022 |
| S•••• S••••• W••••• M••••••••• | Independent wealth | Jul 16, 2019 | Feb 25, 2022 | no | Walpole, MA | Previous registration |
| B••••••• F•••••••• P••••••• L•• | Former SEC adviser | Feb 24, 2014 | Jun 26, 2019 | no | NEEDHAM, MA | Previous registration |
| C••••••• S••••••••• I••• | Bd affiliated wealth | Apr 24, 2013 | Feb 7, 2014 | no | SOMERVILLE, MA|MEDFORD, MA|SOMERVILLE, MA|MEDFORD, MA | Previous registration |
| L•• F•••••••• L•• | Bd affiliated wealth | Dec 19, 2012 | Apr 17, 2013 | no | WESTWOOD, MA|SOMERVILLE, MA|SAN DIEGO, CA|SOMERVILLE, MA | Previous registration |
| S•••••••• A••••••• L•• | National bd RIA | Dec 22, 2008 | Dec 17, 2012 | no | FRAMINGHAM, MA|CARY, NC | Previous registration |
| -14 |
| Firm change |
| RIA to RIA |
| B••••••• F•••••••• P••••••• L•• | S•••• S••••• W••••• M••••••••• | Jun 26, 2019 | Jul 16, 2019 | 20 | Firm change | RIA to RIA |
| C••••••• S••••••••• I••• | B••••••• F•••••••• P••••••• L•• | Feb 7, 2014 | Feb 24, 2014 | 17 | Firm change | Other |
| L•• F•••••••• L•• | C••••••• S••••••••• I••• | Apr 17, 2013 | Apr 24, 2013 | 7 | Firm change | Other |
| S•••••••• A••••••• L•• | L•• F•••••••• L•• | Dec 17, 2012 | Dec 19, 2012 | 2 | Firm change | Other |