DFX Intelligence
Reading the graph
Reading the graph
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Advisor at C•••••••
Newton, 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••••••• | Institutional manager | Apr 19, 2023 | n/a | yes | Newton, MA | Current employment |
| A•••••• W••••• M••••••••• I••• | Former SEC adviser | Nov 24, 2014 | May 18, 2023 | no | WELLESLEY HILLS, MA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| A•••••• W••••• M••••••••• I••• | C••••••• | May 18, 2023 | Apr 19, 2023 | -29 | Firm change | Other |
| S•••••••• A••••••• L•• | A•••••• W••••• M••••••••• I••• | May 31, 2007 | Nov 24, 2014 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 143873:175112:MA:2023-05-18 | May 18, 2023 | Apr 19, 2023 | WELLESLEY HILLS, MA | Firm change |
| S•••••••• A••••••• L•• | National bd RIA | May 2, 2001 | May 31, 2007 | no | BOSTON, MA | Previous registration |
| F••••••• P••••••• T•••• C••••••• F•• | n/a | Apr 26, 2001 | Mar 28, 2007 | no | BOSTON, MA | Previous registration |
| 2,734 |
| Firm change after gap |
| Other |
| F••••••• P••••••• T•••• C••••••• F•• | S•••••••• A••••••• L•• | Mar 28, 2007 | May 2, 2001 | -2,156 | Firm change after gap | Other |