DFX Intelligence
Reading the graph
Reading the graph
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Advisor at O••• B••••• W••••• G•••• L••
TARRYTOWN, 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 |
|---|---|---|---|---|---|---|
| O••• B••••• W••••• G•••• L•• | Independent wealth | Oct 1, 2021 | n/a | yes | TARRYTOWN, NY | Current employment |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Wirehouse | Aug 15, 2016 | Oct 4, 2021 | no | WHITE PLAINS, NY |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | O••• B••••• W••••• G•••• L•• | Oct 4, 2021 | Oct 1, 2021 | -3 | Firm change | Wirehouse to RIA |
| J••• H•••••• I••••••••• M••••••••• L•• | M••••••• I••••••••• M••••••••• ••• L•• | Nov 21, 2007 |
| M••••••• I••••••••• M••••••••• ••• L•• | Asset manager | Jan 5, 2006 | Nov 21, 2007 | no | BOSTON, MA | Previous registration |
| J••• H•••••• I••••••••• M••••••••• L•• | Asset manager | Jan 5, 2006 | Nov 21, 2007 | no | BOSTON, MA | Previous registration |
| -685 |
| Firm change after gap |
| Other |
| M••••••• I••••••••• M••••••••• ••• L•• | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Nov 21, 2007 | Aug 15, 2016 | 3,190 | Firm change after gap | Other |