DFX Intelligence
Reading the graph
Reading the graph
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Advisor at P•••••• C••••• S•••••••• L••
••• Locked
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 |
|---|---|---|---|---|---|---|
| P•••••• C••••• S•••••••• L•• | Bd affiliated wealth | Jul 23, 2020 | n/a | yes | ROCKVILLE, MD|Appleton, WI|Delray Beach, FL | Current employment |
| B••••• F•••••• W••••• M••••••••• L•• | Independent wealth | Jun 3, 2020 | Jul 27, 2020 | no | WEBSTER, NY|Pikesville, MD |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| B••••• F•••••• W••••• M••••••••• L•• | P•••••• C••••• S•••••••• L•• | Jul 27, 2020 | Jul 23, 2020 | -4 | Firm change | RIA to RIA |
| B••• S••••••••• L•• | B••••• F•••••• W••••• M••••••••• L•• | Mar 30, 2018 | Jun 3, 2020 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 284920:120222:MD:2020-07-24 | Jul 27, 2020 | Jul 23, 2020 | PIKESVILLE, MD | Firm change |
| B••• S••••••••• L•• | Former SEC adviser | Jan 2, 2018 | Mar 30, 2018 | no | PIKESVILLE, MD|CHARLOTTE, NC|SEVERNA PARK, MD|RESITERSTOWN, MD|BALTIMORE, MD|TIMONIUM, MD|TOWSON, MD|TOWSON, MD|BALTIMORE, MD | Previous registration |
| B••• I••••••••• S•••••••• I••• | Former SEC adviser | Dec 6, 2016 | Jan 2, 2018 | no | CHARLOTTE, NC|SEVERNA PARK, MD|RESITERSTOWN, MD|BALTIMORE, MD|TIMONIUM, MD|TOWSON, MD|TOWSON, MD|BALTIMORE, MD | Previous registration |
| L•• F•••••••• L•• | Bd affiliated wealth | Sep 29, 2015 | Sep 23, 2016 | no | ELLICOTT CITY, MD|Owings Mills, MD|SAN DIEGO, CA|OWINGS MILLS, MD | Previous registration |
| C••••• A••••••• L•• | Former SEC adviser | Jun 16, 2015 | Sep 4, 2015 | no | ROCKVILLE, MD | Previous registration |
| E•••••••• A•••••••• L•• | National bd RIA | Oct 5, 2010 | Dec 22, 2011 | no | COLUMBIA, MD | Previous registration |
| M•• F•••••••• S•••••••• I••• | Former SEC adviser | Dec 1, 2005 | Oct 14, 2010 | no | BALTIMORE, MD|WESTMINSTER, MD|PIKESVILLE, MD|COLUMBIA, MD|SPRINGFIELD, MA|SPRINGFIELD, MA|COLUMBIA, MD | Previous registration |
| M•••••• I••••••••• F••• S••••••• L•• | n/a | Apr 10, 2003 | Dec 31, 2005 | no | COLUMBIA, MD | Previous registration |
| 796 |
| Firm change after gap |
| Ibd to RIA |
| B••• I••••••••• S•••••••• I••• | B••• S••••••••• L•• | Jan 2, 2018 | Jan 2, 2018 | 0 | Bulk transfer | Other |
| L•• F•••••••• L•• | B••• I••••••••• S•••••••• I••• | Sep 23, 2016 | Dec 6, 2016 | 74 | Firm change | Other |
| C••••• A••••••• L•• | L•• F•••••••• L•• | Sep 4, 2015 | Sep 29, 2015 | 25 | Firm change | Other |
| E•••••••• A•••••••• L•• | C••••• A••••••• L•• | Dec 22, 2011 | Jun 16, 2015 | 1,272 | Firm change after gap | Other |
| M•• F•••••••• S•••••••• I••• | E•••••••• A•••••••• L•• | Oct 14, 2010 | Oct 5, 2010 | -9 | Firm change | Other |
| M•••••• I••••••••• F••• S••••••• L•• | M•• F•••••••• S•••••••• I••• | Dec 31, 2005 | Dec 1, 2005 | -30 | Bulk transfer | Other |