DFX Intelligence
Reading the graph
Reading the graph
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Advisor at G••••••• W••••• A•••••••• L••
••• Locked
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 |
|---|---|---|---|---|---|---|
| G••••••• W••••• A•••••••• L•• | Independent wealth | Jul 16, 2021 | n/a | yes | RALEIGH, NC|GLOUCESTER, MA|DANVERS, MA | Current employment |
| N••••••••• M••••• I••••••••• S••••••••• | No RAUM reported | Mar 11, 2021 | Apr 29, 2021 | no | BOSTON, MA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| N••••••••• M••••• I••••••••• S••••••••• | G••••••• W••••• A•••••••• L•• | Apr 29, 2021 | Jul 16, 2021 | 78 | Firm change | Other |
| N•••••• C•••••• A••••••• L•• | N••••••••• M••••• I••••••••• S••••••••• | Dec 31, 2019 | Mar 11, 2021 |
| N•••••• C•••••• A••••••• L•• | Former SEC adviser | Oct 6, 2014 | Dec 31, 2019 | no | NORTH QUINCY, MA | Previous registration |
| N•••• | Independent wealth | Oct 2, 2012 | May 1, 2013 | no | BURLINGTON, MA | Previous registration |
| E•••••• P•••• A••••••• I••• | n/a | Mar 27, 2003 | Dec 9, 2003 | no | TOPSFIELD, MA | Previous registration |
| 436 |
| Firm change after gap |
| Other |
| N•••• | N•••••• C•••••• A••••••• L•• | May 1, 2013 | Oct 6, 2014 | 523 | Firm change after gap | Other |
| E•••••• P•••• A••••••• I••• | N•••• | Dec 9, 2003 | Oct 2, 2012 | 3,220 | Firm change after gap | Other |