DFX Intelligence
Reading the graph
Reading the graph
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Advisor at E•••••••• W••••• M•••••••••
BOSTON, 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•••••••• W••••• M••••••••• | State registered | Jul 8, 2021 | n/a | yes | BOSTON, MA | Current employment |
| F••••••• P••••••• A•• W•••••••• A••••••• | Former SEC adviser | Jul 13, 2018 | Jul 19, 2021 | no | BOSTON, MA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| F••••••• P••••••• A•• W•••••••• A••••••• | E•••••••• W••••• M••••••••• | Jul 19, 2021 | Jul 8, 2021 | -11 | Firm change | Ibd to state RIA |
| S•••••••• A••••••• L•• | F••••••• P••••••• A•• W•••••••• A••••••• | Jul 13, 2018 | Jul 13, 2018 |
| S•••••••• A••••••• L•• | National bd RIA | Jan 6, 2012 | Jul 13, 2018 | no | BOSTON, MA | Previous registration |
| A•••• • C•••••• O• F••••••• L•• | Former SEC adviser | Sep 13, 2006 | May 15, 2009 | no | LAKELAND, FL | Previous registration |
| 0 |
| Bulk transfer |
| Ibd to new firm |
| A•••• • C•••••• O• F••••••• L•• | S•••••••• A••••••• L•• | May 15, 2009 | Jan 6, 2012 | 966 | Firm change after gap | Other |