DFX Intelligence
Reading the graph
Reading the graph
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Advisor at C••••• I••••••••• A••••••• L••
BALTIMORE, MD
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 |
|---|---|---|---|---|---|---|
| C••••• I••••••••• A••••••• L•• | Bd affiliated wealth | Feb 4, 2022 | n/a | yes | BALTIMORE, MD | Current employment |
| B••• S••••••••• L•• | Former SEC adviser | Jan 2, 2018 | Feb 18, 2020 | no | KING OF PRUSSIA, PA|CHARLOTTE, NC|BALTIMORE, MD |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| B••• S••••••••• L•• | C••••• I••••••••• A••••••• L•• | Feb 18, 2020 | Feb 4, 2022 | 717 | Firm change after gap | Ibd to ibd |
| B••• I••••••••• S•••••••• I••• | B••• S••••••••• L•• | Jan 2, 2018 | Jan 2, 2018 |
| B••• I••••••••• S•••••••• I••• | Former SEC adviser | Feb 1, 2016 | Jan 2, 2018 | no | CHARLOTTE, NC|KING OF PRUSSIA, PA|WEST CHESTER, PA|KING OF PRUSSIA, PA | Previous registration |
| F•••• H•••••• A•••••••• I•• | Former SEC adviser | Apr 5, 2007 | Jan 2, 2008 | no | TIMONIUM, MD | Previous registration |
| B••• I••••••••• S•••••••• I••• | Former SEC adviser | Jan 10, 2005 | Mar 26, 2007 | no | CHARLOTTE, NC|CHARLOTTE, NC|BALTIMORE, MD | Previous registration |
| M•• S••••••••• I••• | n/a | Jun 20, 2003 | Dec 14, 2004 | no | CHEEKTOWAGA, NY | Previous registration |
| S••••••• I••••••••• S•••••••• I••• | Former SEC adviser | Nov 22, 2002 | Apr 23, 2003 | no | BETHESDA, MD | Previous registration |
| 0 |
| Bulk transfer |
| Other |
| F•••• H•••••• A•••••••• I•• | B••• I••••••••• S•••••••• I••• | Jan 2, 2008 | Feb 1, 2016 | 2,952 | Firm change after gap | Other |
| B••• I••••••••• S•••••••• I••• | F•••• H•••••• A•••••••• I•• | Mar 26, 2007 | Apr 5, 2007 | 10 | Firm change | Other |
| M•• S••••••••• I••• | B••• I••••••••• S•••••••• I••• | Dec 14, 2004 | Jan 10, 2005 | 27 | Firm change | Other |
| S••••••• I••••••••• S•••••••• I••• | M•• S••••••••• I••• | Apr 23, 2003 | Jun 20, 2003 | 58 | Firm change | Other |