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 C•••••• W••••• M••••••••• L••
Midway, UT | GUILFORD, CT
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•••••• W••••• M••••••••• L•• | Independent wealth | Mar 24, 2021 | n/a | yes | GUILFORD, CT|Midway, UT | Current employment |
| R•• C•••••• M••••••• L•• | National bd RIA | Nov 13, 2012 | Dec 8, 2020 | no | WASHINGTON, DC|Vienna, VA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| R•• C•••••• M••••••• L•• | C•••••• W••••• M••••••••• L•• | Dec 8, 2020 | Mar 24, 2021 | 106 | Firm change | Ibd to RIA |
| M••••• S•••••• | R•• C•••••• M••••••• L•• | Nov 20, 2012 | Nov 13, 2012 |
| M••••• S•••••• | Wirehouse | Apr 20, 2011 | Nov 20, 2012 | no | Washington, DC | Previous registration |
| L•••• M•• • A••••••••• L•• | Former SEC adviser | Mar 8, 2010 | Mar 8, 2011 | no | Fairfax, VA|FALLS CHURCH, VA|BETHESDA, MD | Previous registration |
| M••••• S•••••• | Wirehouse | Jun 1, 2009 | Mar 23, 2010 | no | Washington, DC | Previous registration |
| M••••• S•••••• • C•• L•• | n/a | Mar 4, 2009 | Jun 1, 2009 | no | WASHINGTON, DC | Previous registration |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Wirehouse | Dec 1, 2007 | Mar 5, 2009 | no | VIENNA, VA|NEW YORK, NY | Previous registration |
| -7 |
| Firm change |
| Wirehouse to ibd |
| L•••• M•• • A••••••••• L•• | M••••• S•••••• | Mar 8, 2011 | Apr 20, 2011 | 43 | Firm change | Other |
| M••••• S•••••• | L•••• M•• • A••••••••• L•• | Mar 23, 2010 | Mar 8, 2010 | -15 | Firm change | Other |
| M••••• S•••••• • C•• L•• | M••••• S•••••• | Jun 1, 2009 | Jun 1, 2009 | 0 | Bulk transfer | Other |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | M••••• S•••••• • C•• L•• | Mar 5, 2009 | Mar 4, 2009 | -1 | Firm change | Other |