DFX Intelligence
Reading the graph
Reading the graph
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Advisor at L••••• W••••• S•••••••••
BETHANY BEACH, DE
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 |
|---|---|---|---|---|---|---|
| L••••• W••••• S••••••••• | State registered | Nov 17, 2021 | n/a | yes | BETHANY BEACH, DE | Current employment |
| U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• | Independent wealth | Oct 30, 2019 | Dec 15, 2021 | no | BETHANY BEACH, DE|SCOTTSDALE, AZ |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• | L••••• W••••• S••••••••• | Dec 15, 2021 | Nov 17, 2021 | -28 | Firm change | RIA to state RIA |
| C•••••••• I••••••••• R••••••• A•••••••• I••• | U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• | Nov 6, 2019 |
| C•••••••• I••••••••• R••••••• A•••••••• I••• | Bd affiliated wealth | Feb 7, 2012 | Nov 6, 2019 | no | Millville, DE | Previous registration |
| O•••• W•••••• I••• | Bd affiliated wealth | Apr 29, 2011 | Feb 9, 2012 | no | KING OF PRUSSIA, PA|LEWES, DE|MILLVILLE, DE | Previous registration |
| -7 |
| Firm change |
| Ibd to RIA |
| O•••• W•••••• I••• | C•••••••• I••••••••• R••••••• A•••••••• I••• | Feb 9, 2012 | Feb 7, 2012 | -2 | Firm change | Other |