DFX Intelligence
Reading the graph
Reading the graph
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Advisor at R•••••••• C•••••• A••••••• L••
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 |
|---|---|---|---|---|---|---|
| R•••••••• C•••••• A••••••• L•• | Independent wealth | May 2, 2023 | n/a | yes | BOSTON, MA | Current employment |
| O• I••••••••• M••••••••• C• | Bd affiliated wealth | Oct 6, 2020 | Mar 16, 2023 | no | Charlestown, MA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| O• I••••••••• M••••••••• C• | R•••••••• C•••••• A••••••• L•• | Mar 16, 2023 | May 2, 2023 | 47 | Firm change | Ibd to RIA |
| F••••••• P••••••• A•• W•••••••• A••••••• | O• I••••••••• M••••••••• C• | Feb 24, 2020 | Oct 6, 2020 |
| F••••••• P••••••• A•• W•••••••• A••••••• | Former SEC adviser | Jul 13, 2018 | Feb 24, 2020 | no | BOSTON, MA | Previous registration |
| S•••••••• A••••••• L•• | National bd RIA | Jan 26, 2016 | Jul 13, 2018 | no | SHREWSBURY, MA|BOSTON, MA | Previous registration |
| S•••••••• A••••••• L•• | National bd RIA | Mar 5, 2014 | Apr 13, 2015 | no | MERRIMACK, NH|SHREWSBURY, MA | Previous registration |
| 225 |
| Firm change |
| Ibd to ibd |
| S•••••••• A••••••• L•• | F••••••• P••••••• A•• W•••••••• A••••••• | Jul 13, 2018 | Jul 13, 2018 | 0 | Bulk transfer | Ibd to new firm |