DFX Intelligence
Reading the graph
Reading the graph
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Advisor at L•••• W••••• M••••••••• L••
NORTH KINGSTOWN, RI
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 |
|---|---|---|---|---|---|---|
| L•••• W••••• M••••••••• L•• | State registered | May 24, 2022 | n/a | yes | NORTH KINGSTOWN, RI | Current employment |
| V••• I••••••••• M••••••••• C•• L•• | Asset manager | Sep 14, 2009 | Nov 10, 2010 | no | NEW YORK, NY | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| V••• I••••••••• M••••••••• C•• L•• | L•••• W••••• M••••••••• L•• | Nov 10, 2010 | May 24, 2022 | 4,213 | Firm change after gap | Other |
| C••••••• S••••••••• I••• | V••• I••••••••• M••••••••• C•• L•• | Jun 7, 2006 | Sep 14, 2009 |
| C••••••• S••••••••• I••• | Bd affiliated wealth | Apr 12, 2005 | Jun 7, 2006 | no | PROVIDENCE, RI|SMITHFIELD, RI | Previous registration |
| B••• O• A•••••• I••••••••• S•••••••• I••• | n/a | Oct 20, 2004 | Jan 3, 2005 | no | LINCOLN, RI | Previous registration |
| Q•••• • R•••••• I••• | n/a | Aug 22, 2003 | Oct 20, 2004 | no | LINCOLN, RI | Previous registration |
| 1,195 |
| Firm change after gap |
| Other |
| B••• O• A•••••• I••••••••• S•••••••• I••• | C••••••• S••••••••• I••• | Jan 3, 2005 | Apr 12, 2005 | 99 | Firm change | Other |
| Q•••• • R•••••• I••• | B••• O• A•••••• I••••••••• S•••••••• I••• | Oct 20, 2004 | Oct 20, 2004 | 0 | Bulk transfer | Other |