DFX Intelligence
Reading the graph
Reading the graph
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Advisor at M••••• F••••••••• L••
WALTHAM, 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 |
|---|---|---|---|---|---|---|
| M••••• F••••••••• L•• | Independent wealth | May 1, 2024 | n/a | yes | WALTHAM, MA | Current employment |
| C•••••• S••••• • C••• I••• | National bd RIA | Jan 26, 2022 | Apr 29, 2024 | no | Framingham, MA|Boston, MA|Chestnut Hill, MA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| C•••••• S••••• • C••• I••• | M••••• F••••••••• L•• | Apr 29, 2024 | May 1, 2024 | 2 | Firm change | Ibd to RIA |
| T• A••••••••• I••••••••• M••••••••• L•• | C•••••• S••••• • C••• I••• | Sep 7, 2023 | Jan 26, 2022 |
| T• A••••••••• I••••••••• M••••••••• L•• | Former SEC adviser | Sep 16, 2021 | Sep 7, 2023 | no | Framingham, MA|Boston, MA | Previous registration |
| T• A••••••••• I••• | Former SEC adviser | Sep 16, 2021 | Oct 14, 2022 | no | Framingham, MA|Boston, MA|chestnut Hill, MA | Previous registration |
| P•••• S••••••••• L•• | No RAUM reported | Feb 5, 2021 | Jul 23, 2021 | no | WARWICK, RI|WARWICK, RI|SHELTON, CT | Previous registration |
| -589 |
| Bulk transfer |
| RIA to ibd |
| T• A••••••••• I••• | T• A••••••••• I••••••••• M••••••••• L•• | Oct 14, 2022 | Sep 16, 2021 | -393 | Bulk transfer | Other |
| P•••• S••••••••• L•• | T• A••••••••• I••• | Jul 23, 2021 | Sep 16, 2021 | 55 | Firm change | Other |