DFX Intelligence
Data Factory
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Reading the graph
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Advisor at A••••••••• F•••••••• S•••••••• L••
Atlanta, GA | Annapolis, MD | Columbia, MD
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 |
|---|---|---|---|---|---|---|
| A••••••••• F•••••••• S•••••••• L•• | National bd RIA | Sep 12, 2016 | n/a | yes | Atlanta, GA|Columbia, MD|Annapolis, MD | Current employment |
| F•••• A••••• A••••••• S•••••••• I••• | Former SEC adviser | Jan 2, 2013 | Sep 22, 2016 | no |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| F•••• A••••• A••••••• S•••••••• I••• | A••••••••• F•••••••• S•••••••• L•• | Sep 22, 2016 | Sep 12, 2016 | -10 | Firm change | Other |
| C•••••• A••••••• | F•••• A••••• A••••••• S•••••••• I••• | Mar 12, 2013 |
| Previous registration |
| C•••••• A••••••• | Bd affiliated wealth | Jun 4, 2012 | Mar 12, 2013 | no | SEVERNA PARK, MD | Previous registration |
| L•••••• I••••••••• | Independent wealth | Jun 1, 2012 | Dec 31, 2012 | no | SEVERNA PARK, MD | Previous registration |
| C••••••••• A•••••••• I•• | Former SEC adviser | Apr 19, 2012 | Jun 1, 2012 | no | SEVERNA PARK, MD | Previous registration |
| C•••••••• G••••• M•••••• I••• | Bd affiliated wealth | Feb 10, 2006 | May 24, 2006 | no | ANNAPOLIS, MD | Previous registration |
| F••••••••• S••••• D•• S••••• F•••••••• • A••••••••• | Independent wealth | Jan 23, 2004 | Oct 17, 2005 | no | CHESTER, NJ | Previous registration |
| E•••••••• A•••••••• L•• | National bd RIA | Apr 28, 2003 | May 12, 2003 | no | MANASQUAN, NJ | Previous registration |
| -69 |
| Firm change after gap |
| Other |
| L•••••• I••••••••• | C•••••• A••••••• | Dec 31, 2012 | Jun 4, 2012 | -210 | Firm change after gap | Other |
| C••••••••• A•••••••• I•• | L•••••• I••••••••• | Jun 1, 2012 | Jun 1, 2012 | 0 | Bulk transfer | Other |
| C•••••••• G••••• M•••••• I••• | C••••••••• A•••••••• I•• | May 24, 2006 | Apr 19, 2012 | 2,157 | Firm change after gap | Other |
| F••••••••• S••••• D•• S••••• F•••••••• • A••••••••• | C•••••••• G••••• M•••••• I••• | Oct 17, 2005 | Feb 10, 2006 | 116 | Firm change | Other |
| E•••••••• A•••••••• L•• | F••••••••• S••••• D•• S••••• F•••••••• • A••••••••• | May 12, 2003 | Jan 23, 2004 | 256 | Firm change | Other |