DFX Intelligence
Reading the graph
Reading the graph
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Advisor at R••••• F••••••••
LANCASTER, PA
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••••• F•••••••• | State registered | Jul 13, 2023 | n/a | yes | LANCASTER, PA | Current employment |
| M••••• F•••••••• L•• | Independent wealth | Jul 1, 2019 | Aug 31, 2023 | no | LARAMIE, WY|Lancaster, PA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| M••••• F•••••••• L•• | R••••• F•••••••• | Aug 31, 2023 | Jul 13, 2023 | -49 | Firm change after gap | RIA to state RIA |
| C•••••••• I••••••••• R••••••• A•••••••• I••• | M••••• F•••••••• L•• | Jul 11, 2019 | Jul 1, 2019 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 134139:302088:PA:2019-07-11 | Jul 11, 2019 | Jul 1, 2019 | LANCASTER, PA | Firm change |
| C•••••••• I••••••••• R••••••• A•••••••• I••• | Bd affiliated wealth | Sep 4, 2012 | Jul 11, 2019 | no | LANCASTER, PA | Previous registration |
| I••••• F•••••••• C••••••••• | Former SEC adviser | Sep 29, 2009 | Sep 7, 2012 | no | LANCASTER, PA|APPLETON, WI|EAST PETERSBURG, PA|LANCASTER, PA|LANCASTER, PA|LITITZ, PA|LANCASTER, PA | Previous registration |
| C••••• A•••••• N••••••• L•• | Former SEC adviser | Jul 16, 2002 | Sep 17, 2007 | no | EAST PETERSBURG, PA|EAST PETERSBURG, PA | Previous registration |
| F•••••••• N•••••• A••••••• I••• | n/a | Mar 4, 1997 | Dec 31, 2008 | no | EAST PETERSBURG, PA | Previous registration |
| -10 |
| Firm change |
| Ibd to new firm |
| I••••• F•••••••• C••••••••• | C•••••••• I••••••••• R••••••• A•••••••• I••• | Sep 7, 2012 | Sep 4, 2012 | -3 | Firm change | Other |
| F•••••••• N•••••• A••••••• I••• | C••••• A•••••• N••••••• L•• | Dec 31, 2008 | Jul 16, 2002 | -2,360 | Firm change after gap | Other |
| C••••• A•••••• N••••••• L•• | I••••• F•••••••• C••••••••• | Sep 17, 2007 | Sep 29, 2009 | 743 | Firm change after gap | Other |