DFX Intelligence
Reading the graph
Reading the graph
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Advisor at S••••••••• W•••••
SUMMIT, NJ | Charleston, SC
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 | May 5, 2026 | n/a | yes | SUMMIT, NJ|Charleston, SC | Current employment |
| F•••• I••••••• S••••••• | Mixed wealth | Sep 14, 2023 | Apr 24, 2026 | no | Charleston, SC|SCOTTSDALE, AZ|COOKEVILLE, TN |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| F•••• I••••••• S••••••• | S••••••••• W••••• | Apr 24, 2026 | May 5, 2026 | 11 | Firm change | RIA to RIA |
| R••••••••• S•••••••• G••••• I••• | F•••• I••••••• S••••••• | Sep 15, 2023 | Sep 14, 2023 |
| R••••••••• S•••••••• G••••• I••• | Former SEC adviser | May 5, 2021 | Sep 15, 2023 | no | COOKEVILLE, TN | Previous registration |
| F•••••••• A•••••••• L•• | Independent wealth | Jan 20, 2020 | Aug 31, 2020 | no | LANCASTER, PA|Mount Pleasant, SC | Previous registration |
| F•••••••• C•••••• | Asset manager | Nov 27, 2019 | Apr 23, 2021 | no | Mount Pleasant, SC|LANCASTER, PA | Previous registration |
| S••••• R••••••• G•••• L•• | State registered | May 19, 2018 | Dec 31, 2020 | no | Mount Pleasant, SC|EDMOND, OK|Wrightsville, PA | Previous registration |
| F••••••••• I•••••••• L•• | n/a | Oct 5, 2010 | Dec 20, 2018 | no | MOUNT PLEASANT, SC | Previous registration |
| V••••• F•••• A•••••••• I••• | Independent wealth | Aug 12, 2009 | Jun 8, 2010 | no | MOUNT PLEASANT, SC | Previous registration |
| A••••••••• F•••••••• S•••••••• L•• | National bd RIA | Oct 11, 2007 | Aug 12, 2009 | no | BEDFORD, NH | Previous registration |
| L•• F•••••••• L•• | Bd affiliated wealth | Jun 24, 2005 | Oct 29, 2007 | no | MIDDLETON, MA|NORTH ANDOVER, MA|N. ANDOVER, MA | Previous registration |
| Firm | Class | Began | Ended | Current | Branch | Basis |
|---|---|---|---|---|---|---|
| C••• B•••••••• S•••••••• I••• | Former SEC adviser | Oct 1, 2001 | Jul 20, 2005 | no | LOWELL, MA | Previous registration |
| -1 |
| Firm change |
| Other |
| F•••••••• C•••••• | F•••••••• A•••••••• L•• | Apr 23, 2021 | Jan 20, 2020 | -459 | Firm change after gap | RIA to RIA |
| S••••• R••••••• G•••• L•• | F•••••••• C•••••• | Dec 31, 2020 | Nov 27, 2019 | -400 | Firm change after gap | Other |
| F•••••••• A•••••••• L•• | R••••••••• S•••••••• G••••• I••• | Aug 31, 2020 | May 5, 2021 | 247 | Firm change | RIA to RIA |
| F••••••••• I•••••••• L•• | S••••• R••••••• G•••• L•• | Dec 20, 2018 | May 19, 2018 | -215 | Firm change after gap | Other |
| V••••• F•••• A•••••••• I••• | F••••••••• I•••••••• L•• | Jun 8, 2010 | Oct 5, 2010 | 119 | Firm change | Other |
| A••••••••• F•••••••• S•••••••• L•• | V••••• F•••• A•••••••• I••• | Aug 12, 2009 | Aug 12, 2009 | 0 | Firm change | Other |
| L•• F•••••••• L•• | A••••••••• F•••••••• S•••••••• L•• | Oct 29, 2007 | Oct 11, 2007 | -18 | Firm change | Other |
| C••• B•••••••• S•••••••• I••• | L•• F•••••••• L•• | Jul 20, 2005 | Jun 24, 2005 | -26 | Firm change | Other |