DFX Intelligence
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Reading the graph
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Advisor at H•••••••• A•••••••• L••
CHICAGO, IL | New York City, NY
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 |
|---|---|---|---|---|---|---|
| H•••••••• A•••••••• L•• | Bd affiliated wealth | Mar 18, 2021 | n/a | yes | CHICAGO, IL|New York City, NY | Current employment |
| D••••••• S••••••••• L•• | Independent wealth | Jun 25, 2012 | May 3, 2019 | no | NEW YORK, NY|NEW YORK, NY|New York, NY |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| D••••••• S••••••••• L•• | H•••••••• A•••••••• L•• | May 3, 2019 | Mar 18, 2021 | 685 | Firm change after gap | RIA to ibd |
| B••••••• C•••••• I••• | D••••••• S••••••••• L•• | Jul 3, 2012 | Jun 25, 2012 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 18975:145323:NY:2019-05-03 | May 3, 2019 | Mar 18, 2021 | NEW YORK, NY | Firm change after gap |
| B••••••• C•••••• I••• | Former SEC adviser | Apr 2, 2009 | Jul 3, 2012 | no | NEW YORK, NY | Previous registration |
| U•• F•••••••• S••••••• I••• | Wirehouse | May 23, 2002 | Apr 12, 2007 | no | WEEHAWKEN, NJ|WEEHAWKEN, NJ|WEEHAWKEN, NJ | Previous registration |
| -8 |
| Firm change |
| Other |
| U•• F•••••••• S••••••• I••• | B••••••• C•••••• I••• | Apr 12, 2007 | Apr 2, 2009 | 721 | Firm change after gap | Other |