DFX Intelligence
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Reading the graph
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Advisor at S••••• W••••• M••••••••• L••
PARKVILLE, MO | FAIRFIELD, NJ
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••••• M••••••••• L•• | Independent wealth | Mar 12, 2025 | n/a | yes | PARKVILLE, MO|FAIRFIELD, NJ | Current employment |
| C•••••••• I••••••••• R••••••• A•••••••• I••• | Bd affiliated wealth | Jan 12, 2024 | Mar 17, 2025 | no | Parkville, MO |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| C•••••••• I••••••••• R••••••• A•••••••• I••• | S••••• W••••• M••••••••• L•• | Mar 17, 2025 | Mar 12, 2025 | -5 | Firm change | Ibd to new firm |
| S•••••••• F•••••••• A••••••• L•• | C•••••••• I••••••••• R••••••• A•••••••• I••• | Jan 22, 2024 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 135603:134139:NY:2024-01-19 | Jan 22, 2024 | Jan 12, 2024 | NEW YORK, NY | Firm change |
| S•••••••• F•••••••• A••••••• L•• | Former SEC adviser | Oct 24, 2005 | Jan 22, 2024 | no | NEW YORK, NY|NEW YORK, NY | Previous registration |
| W•••••• • R••• | Former SEC adviser | May 7, 1997 | Sep 20, 2005 | no | INDEPENDENCE, MO | Previous registration |
| -10 |
| Firm change |
| Other |
| W•••••• • R••• | S•••••••• F•••••••• A••••••• L•• | Sep 20, 2005 | Oct 24, 2005 | 34 | Firm change | Other |