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 E•• F•••••••• A•••••••
COLCHESTER, VT | ROWLEY, 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 |
|---|---|---|---|---|---|---|
| E•• F•••••••• A••••••• | Independent wealth | Dec 18, 2023 | n/a | yes | COLCHESTER, VT|ROWLEY, MA | Current employment |
| L•• F•••••••• L•• | Bd affiliated wealth | Aug 17, 2022 | Dec 22, 2023 | no | BRIDGEPORT, CT|PORTSMOUTH, NH|HAMPTON, NH|RAYMOND, NH|PLAISTOW, NH|DOVER, NH|EXETER, NH|PORTSMOUTH, NH|DURHAM, NH|EXETER, NH|HAMPSTEAD, NH|WOLFEBORO, NH|STRATHAM, NH|SALEM, NH|WHITE RIVER JUNCTION, VT|ROCHESTER, NH |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| L•• F•••••••• L•• | E•• F•••••••• A••••••• | Dec 22, 2023 | Dec 18, 2023 | -4 | Firm change | Ibd to RIA |
| P••••••• U••••• A•••••••• I••• | L•• F•••••••• L•• | Aug 17, 2022 | Aug 17, 2022 |
| Previous registration |
| P••••••• U••••• A•••••••• I••• | Former SEC adviser | Jun 1, 2018 | Aug 17, 2022 | no | Danvers, MA|Portsmouth, NH | Previous registration |
| P••••••• S••••••••• I••• | Former SEC adviser | May 21, 2015 | Mar 31, 2020 | no | DANVERS, MA|DANVERS, MA|BRIDGEPORT, CT|PEABODY, MA|Middleton, MA|manchester by the sea, MA|TOPSFIELD, MA|BEVERLY, MA|BEVERLY, MA|SALEM, MA|Beverly, MA|South Hamilton, MA|DERRY, NH|SALEM, NH|HAMPSTEAD, NH|PLAISTOW, NH|KITTERY, ME|KENNEBUNKPORT, ME|SOUTH BERWICK, ME|ROCHESTER, NH|WOLFEBORO, NH|PORTSMOUTH, NH|PORTSMOUTH, NH|EXETER, NH|DURHAM, NH|DOVER, NH|EXETER, NH|RAYMOND, NH|HAMPTON, NH|KENNEBUNK, ME|STRATHAM, NH|YORK, ME|BRIDGEPORT, CT|BRIDGEPORT, CT | Previous registration |
| S•••••••• S••••••••• | Bd affiliated wealth | Oct 6, 2014 | May 5, 2015 | no | Haverhill, MA|Methuen, MA|Methuen, MA|PLYMOUTH, MA|North Andover, MA|METHUEN, MA|NORTH ANDOVER, MA | Previous registration |
| P••••••• S••••••••• I••• | Former SEC adviser | Mar 14, 2011 | Sep 15, 2014 | no | BRIDGEPORT, CT|manchester by the sea, MA|BEVERLY, MA|DANVERS, MA|BEVERLY, MA|WHITE RIVER JUNCTION, VT|SAUGUS, MA|PEABODY, MA|Beverly, MA | Previous registration |
| C••••••• S••••••••• I••• | Bd affiliated wealth | Apr 15, 2009 | Feb 1, 2011 | no | HANOVER, MA|BRIDGEWATER, MA|ABINGTON, MA|BROCKTON, MA|BROCKTON, MA|FAIRHAVEN, MA|NEW BEDFORD, MA|NEW BEDFORD, MA|FALMOUTH, MA|SO. DENNIS, MA | Previous registration |
| L•• F•••••••• L•• | Bd affiliated wealth | Dec 20, 2006 | Mar 23, 2009 | no | HYANNIS, MA|WEST DENNIS, MA|CENTERVILLE, MA|CHATTAM, MA|ORLEANS, MA|SOUTH YARMOUTH, MA|HYANNIS, MA | Previous registration |
| B••• O• A•••••• I••••••••• S•••••••• I••• | n/a | Oct 20, 2004 | Oct 4, 2005 | no | ABINGTON, MA | Previous registration |
| Q•••• • R•••••• I••• | n/a | Jul 24, 2003 | Oct 20, 2004 | no | HYANNIS, MA | Previous registration |
| 0 |
| Bulk transfer |
| RIA to RIA |
| P••••••• S••••••••• I••• | P••••••• U••••• A•••••••• I••• | Mar 31, 2020 | Jun 1, 2018 | -669 | Bulk transfer | Other |
| S•••••••• S••••••••• | P••••••• S••••••••• I••• | May 5, 2015 | May 21, 2015 | 16 | Firm change | Other |
| P••••••• S••••••••• I••• | S•••••••• S••••••••• | Sep 15, 2014 | Oct 6, 2014 | 21 | Firm change | Other |
| C••••••• S••••••••• I••• | P••••••• S••••••••• I••• | Feb 1, 2011 | Mar 14, 2011 | 41 | Firm change | Other |
| L•• F•••••••• L•• | C••••••• S••••••••• I••• | Mar 23, 2009 | Apr 15, 2009 | 23 | Firm change | Other |
| B••• O• A•••••• I••••••••• S•••••••• I••• | L•• F•••••••• L•• | Oct 4, 2005 | Dec 20, 2006 | 442 | Firm change after gap | Other |
| Q•••• • R•••••• I••• | B••• O• A•••••• I••••••••• S•••••••• I••• | Oct 20, 2004 | Oct 20, 2004 | 0 | Bulk transfer | Other |