DFX Intelligence
Reading the graph
Reading the graph
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Advisor at S•••••••• A••••••• L••
BELMONT, MA | CAMBRIDGE, 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•••••••• A••••••• L•• | National bd RIA | Mar 31, 2025 | n/a | yes | BELMONT, MA|CAMBRIDGE, MA | Current employment |
| F••••••• P••••••• A•• W•••••••• A••••••• | Former SEC adviser | Jul 26, 2023 | Mar 31, 2025 | no | FRAMINGHAM, MA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| F••••••• P••••••• A•• W•••••••• A••••••• | S•••••••• A••••••• L•• | Mar 31, 2025 | Mar 31, 2025 | 0 | Bulk transfer | Ibd to ibd |
| B•••••••• I••••••••• M••••••••• L•• | F••••••• P••••••• A•• W•••••••• A••••••• | Apr 20, 2023 | Jul 26, 2023 |
| B•••••••• I••••••••• M••••••••• L•• | Asset manager | Feb 23, 2015 | Apr 20, 2023 | no | SAN FRANCISCO, CA|PRINCETON, NJ|Boston, MA | Previous registration |
| S•••••••• A••••••• L•• | National bd RIA | Sep 16, 2010 | Feb 11, 2015 | no | LARKSPUR, CA | Previous registration |
| U•• F•••••••• S••••••• I••• | Wirehouse | Sep 23, 1999 | May 28, 2003 | no | SAN FRANCISCO, CA | Previous registration |
| 97 |
| Firm change |
| Other |
| S•••••••• A••••••• L•• | B•••••••• I••••••••• M••••••••• L•• | Feb 11, 2015 | Feb 23, 2015 | 12 | Firm change | Other |
| U•• F•••••••• S••••••• I••• | S•••••••• A••••••• L•• | May 28, 2003 | Sep 16, 2010 | 2,668 | Firm change after gap | Wirehouse to ibd |