DFX Intelligence
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Reading the graph
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Advisor at S••••• W•••••
WELLESLEY, 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 |
|---|---|---|---|---|---|---|
| S••••• W••••• | Mixed wealth | Feb 22, 2019 | n/a | yes | WELLESLEY, MA | Current employment |
| T•• H•••••• G•••• | Former SEC adviser | Oct 4, 2016 | Jun 11, 2019 | no | WALTHAM, MA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| T•• H•••••• G•••• | S••••• W••••• | Jun 11, 2019 | Feb 22, 2019 | -109 | Firm change after gap | RIA to new firm |
| U•• F•••••••• S••••••• I••• | T•• H•••••• G•••• | Oct 11, 2016 | Oct 4, 2016 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 8174:283572:MA:2016-10-11 | Oct 11, 2016 | Oct 4, 2016 | WELLESLEY, MA | Firm change |
| Wirehouse |
| Dec 12, 2008 |
| Oct 11, 2016 |
| no |
| WELLESLEY, MA |
| Previous registration |
| W•••• F•••• A••••••• | Wirehouse | Jul 1, 2003 | Dec 15, 2008 | no | WALTHAM, MA|WALTHAM, MA | Previous registration |
| P••••••••• E••••• G••••• L•• | n/a | Apr 22, 1997 | Jul 1, 2003 | no | WELLESLEY, MA | Previous registration |
| -7 |
| Firm change |
| Wirehouse to new firm |
| W•••• F•••• A••••••• | U•• F•••••••• S••••••• I••• | Dec 15, 2008 | Dec 12, 2008 | -3 | Firm change | Wirehouse to wirehouse |
| P••••••••• E••••• G••••• L•• | W•••• F•••• A••••••• | Jul 1, 2003 | Jul 1, 2003 | 0 | Bulk transfer | Other |