DFX Intelligence
Reading the graph
Reading the graph
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Advisor at R•••• I••••••••• A••••••• L••
West Chester, PA | KENTWOOD, MI
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 |
|---|---|---|---|---|---|---|
| R•••• I••••••••• A••••••• L•• | Bd affiliated wealth | May 8, 2019 | n/a | yes | West Chester, PA|KENTWOOD, MI | Current employment |
| K••••• A••••••• S•••••••• L•• | Bd affiliated wealth | Apr 19, 2016 | Mar 29, 2019 | no | West Chester, PA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| K••••• A••••••• S•••••••• L•• | R•••• I••••••••• A••••••• L•• | Mar 29, 2019 | May 8, 2019 | 40 | Firm change | Ibd to ibd |
| N•• A•••••• S•••••••• L•• | K••••• A••••••• S•••••••• L•• | Sep 22, 2016 | Apr 19, 2016 |
| N•• A•••••• S•••••••• L•• | Former SEC adviser | Sep 30, 2013 | Sep 22, 2016 | no | MALVERN, PA|AUSTIN, TX|WEST CHESTER, PA|West Chester, PA | Previous registration |
| F•• S••••••••• C••••••••• | Former SEC adviser | May 18, 2012 | Oct 2, 2013 | no | WESTCHESTER, PA | Previous registration |
| F•••••••• A••••••• G•••• L••••• | Independent wealth | Jul 13, 2011 | May 29, 2012 | no | GIG HARBOR, WA | Previous registration |
| M••• W••••• M••••••••• I••• | State registered | Sep 7, 2010 | Sep 14, 2011 | no | SOUTHLAKE, TX | Previous registration |
| M•• I•••••••• S•••••••• L•• | Bd affiliated wealth | Sep 25, 2009 | Sep 3, 2010 | no | EXTON, PA|MECHANICSBURG, PA|DOWNINGTOWN, PA | Previous registration |
| M•••• C••••••• A••••••• S•••••• | Bd affiliated wealth | Jun 29, 2007 | Sep 3, 2009 | no | PALM BEACH GARDENS, FL|DOWNINGTOWN, PA | Previous registration |
| P•••••••• S••••••••• I••• | Bd affiliated wealth | Apr 11, 2005 | Jul 9, 2007 | no | WILMINGTON, DE|WILMINGTON, DE | Previous registration |
| -156 |
| Bulk transfer |
| Other |
| F•• S••••••••• C••••••••• | N•• A•••••• S•••••••• L•• | Oct 2, 2013 | Sep 30, 2013 | -2 | Firm change | Other |
| F•••••••• A••••••• G•••• L••••• | F•• S••••••••• C••••••••• | May 29, 2012 | May 18, 2012 | -11 | Firm change | Other |
| M••• W••••• M••••••••• I••• | F•••••••• A••••••• G•••• L••••• | Sep 14, 2011 | Jul 13, 2011 | -63 | Firm change after gap | Other |
| M•• I•••••••• S•••••••• L•• | M••• W••••• M••••••••• I••• | Sep 3, 2010 | Sep 7, 2010 | 4 | Firm change | Other |
| M•••• C••••••• A••••••• S•••••• | M•• I•••••••• S•••••••• L•• | Sep 3, 2009 | Sep 25, 2009 | 22 | Firm change | Other |
| P•••••••• S••••••••• I••• | M•••• C••••••• A••••••• S•••••• | Jul 9, 2007 | Jun 29, 2007 | -10 | Firm change | Other |