DFX Intelligence
Reading the graph
Reading the graph
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Advisor at P•••••• W••••• M••••••••• L••
Amherst, MA | SAN FRANCISCO, CA
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 |
|---|---|---|---|---|---|---|
| P•••••• W••••• M••••••••• L•• | Independent wealth | Mar 27, 2023 | n/a | yes | Amherst, MA|SAN FRANCISCO, CA | Current employment |
| S••••••••• C•••••• | Former SEC adviser | Apr 17, 2009 | Jun 30, 2023 | no | AMHERST, MA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| S••••••••• C•••••• | P•••••• W••••• M••••••••• L•• | Jun 30, 2023 | Mar 27, 2023 | -95 | Firm change after gap | RIA to RIA |
| T••• W••••• P••••••• A•• M••••••••• I••• | S••••••••• C•••••• | Mar 31, 2008 | Apr 17, 2009 |
| T••• W••••• P••••••• A•• M••••••••• I••• | Former SEC adviser | Oct 8, 2007 | Mar 31, 2008 | no | AMHERST, MA|CHAPEL HILL, NC | Previous registration |
| 382 |
| Firm change |
| Other |