DFX Intelligence
Reading the graph
Reading the graph
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Advisor at R••• W••••• P••••••• L••
MECHANICSVILLE, VA
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••• W••••• P••••••• L•• | State registered | Oct 12, 2023 | n/a | yes | MECHANICSVILLE, VA | Current employment |
| M••••• C•••••• A•••••••• L•• | Independent wealth | Sep 21, 2017 | Oct 12, 2023 | no | RALEIGH, NC|Mechanicsville, VA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| M••••• C•••••• A•••••••• L•• | R••• W••••• P••••••• L•• | Oct 12, 2023 | Oct 12, 2023 | 0 | Firm change | RIA to state RIA |
| J• W• C••• A•••••••• I••• | M••••• C•••••• A•••••••• L•• | Oct 27, 2016 | Oct 4, 2016 |
| M••••• C•••••• A•••••••• L•• | Independent wealth | Oct 4, 2016 | Dec 31, 2021 | no | Mechanicsville, VA|RALEIGH, NC | Previous registration |
| J• W• C••• A•••••••• I••• | Bd affiliated wealth | Sep 18, 2015 | Oct 27, 2016 | no | Mechanicsville, VA|TAMPA, FL|Fairview, NC|Mechanicsville, VA | Previous registration |
| F•• S••••••••• C••••••••• | Former SEC adviser | Apr 16, 2014 | Jan 22, 2015 | no | ATLANTA, GA|MECHANICSVILLE, VA | Previous registration |
| S••••••••• A•••••• A•••••••• I••• | Former SEC adviser | Nov 12, 2013 | Feb 24, 2014 | no | MECHANICSVILLE, VA | Previous registration |
| T•• R••••••••• G••••• L•• | Former SEC adviser | Aug 10, 2012 | Nov 15, 2013 | no | SAN DIEGO, CA | Previous registration |
| F•• S••••••••• C••••••••• | Former SEC adviser | Sep 27, 2011 | Jul 26, 2012 | no | SAN DIEGO, CA|MECHANICSVILLE, VA | Previous registration |
| L•• F•••••••• L•• | Bd affiliated wealth | Dec 16, 2009 | Sep 26, 2011 | no | MECHANICSVILLE, VA|SAN DIEGO, CA|MECHANICSVILLE, VA | Previous registration |
| E••••• J•••• | National bd RIA | Mar 30, 2007 | Dec 21, 2009 | no | Mechanicsville, VA|ST. LOUIS, MO | Previous registration |
| -23 |
| Firm change |
| Other |
| F•• S••••••••• C••••••••• | J• W• C••• A•••••••• I••• | Jan 22, 2015 | Sep 18, 2015 | 239 | Firm change | Other |
| S••••••••• A•••••• A•••••••• I••• | F•• S••••••••• C••••••••• | Feb 24, 2014 | Apr 16, 2014 | 51 | Firm change | Other |
| T•• R••••••••• G••••• L•• | S••••••••• A•••••• A•••••••• I••• | Nov 15, 2013 | Nov 12, 2013 | -3 | Firm change | Other |
| F•• S••••••••• C••••••••• | T•• R••••••••• G••••• L•• | Jul 26, 2012 | Aug 10, 2012 | 15 | Firm change | Other |
| L•• F•••••••• L•• | F•• S••••••••• C••••••••• | Sep 26, 2011 | Sep 27, 2011 | 1 | Firm change | Other |
| E••••• J•••• | L•• F•••••••• L•• | Dec 21, 2009 | Dec 16, 2009 | -5 | Firm change | Other |