DFX Intelligence
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Reading the graph
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Advisor at C••••• P••••••• L••
NEW YORK, NY | BOSTON, 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 |
|---|---|---|---|---|---|---|
| C••••• P••••••• L•• | Independent wealth | Jan 17, 2025 | n/a | yes | BOSTON, MA|NEW YORK, NY | Current employment |
| P••• W••••• L• | Former SEC adviser | Aug 21, 2019 | Feb 3, 2025 | no | BOSTON, MA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| P••• W••••• L• | C••••• P••••••• L•• | Feb 3, 2025 | Jan 17, 2025 | -17 | Firm change | RIA to RIA |
| F••••••• P••••••• A•• W•••••••• A••••••• | P••• W••••• L• | Jul 10, 2019 | Aug 21, 2019 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 105058:151559:MA:2025-02-03 | Feb 3, 2025 | Jan 17, 2025 | BOSTON, MA | Firm change |
| F••••••• P••••••• A•• W•••••••• A••••••• |
| Former SEC adviser |
| Jul 13, 2018 |
| Jul 10, 2019 |
| no |
| BOSTON, MA |
| Previous registration |
| S•••••••• A••••••• L•• | National bd RIA | Mar 5, 2014 | Jul 13, 2018 | no | MERRIMACK, NH|BURLINGTON, MA|Boston, MA | Previous registration |
| 42 |
| Firm change |
| Ibd to RIA |
| S•••••••• A••••••• L•• | F••••••• P••••••• A•• W•••••••• A••••••• | Jul 13, 2018 | Jul 13, 2018 | 0 | Bulk transfer | Ibd to new firm |