DFX Intelligence
Reading the graph
Reading the graph
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Advisor at B••••••• W••••• M••••••••• L••
MEDFIELD, MA | AMESBURY, 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 |
|---|---|---|---|---|---|---|
| B••••••• W••••• M••••••••• L•• | Independent wealth | Nov 30, 2020 | n/a | yes | AMESBURY, MA|MEDFIELD, MA | Current employment |
| F••••• I••••••••• | Independent wealth | Nov 27, 2019 | Sep 28, 2020 | no | WEST NEWBURY, MA|PLANO, TX|CHARLESTOWN, MA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| F••••• I••••••••• | B••••••• W••••• M••••••••• L•• | Sep 28, 2020 | Nov 30, 2020 | 63 | Firm change | RIA to RIA |
| F••••••• P••••••• A•• W•••••••• A••••••• | F••••• I••••••••• | Sep 25, 2019 | Nov 27, 2019 |
| F••••••• P••••••• A•• W•••••••• A••••••• | Former SEC adviser | Jul 13, 2018 | Sep 25, 2019 | no | BOSTON, MA | Previous registration |
| S•••••••• A••••••• L•• | National bd RIA | May 28, 2013 | Jul 13, 2018 | no | BOSTON, MA|HOUSTON, TX|CAMBRIDGE, MA | Previous registration |
| 63 |
| Firm change |
| Ibd to RIA |
| S•••••••• A••••••• L•• | F••••••• P••••••• A•• W•••••••• A••••••• | Jul 13, 2018 | Jul 13, 2018 | 0 | Bulk transfer | Ibd to new firm |