DFX Intelligence
Reading the graph
Reading the graph
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Advisor at F••••••••• F•••••••• P•••••••• L•••
VENICE, FL
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 |
|---|---|---|---|---|---|---|
| F••••••••• F•••••••• P•••••••• L••• | Independent wealth | Nov 9, 2022 | n/a | yes | VENICE, FL | Current employment |
| F••••••••• P•••••• W••••• | Former SEC adviser | May 6, 2021 | Dec 9, 2022 | no | VENICE, FL | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| F••••••••• P•••••• W••••• | F••••••••• F•••••••• P•••••••• L••• | Dec 9, 2022 | Nov 9, 2022 | -30 | Firm change | RIA to new firm |
| F••••••• P••••••• A•• W•••••••• A••••••• | F••••••••• P•••••• W••••• | May 14, 2021 | May 6, 2021 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 306017:323060:FL:2022-12-09 | Dec 9, 2022 | Nov 9, 2022 | VENICE, FL | Firm change |
| F••••••• P••••••• A•• W•••••••• A••••••• | Former SEC adviser | Jul 13, 2018 | May 14, 2021 | no | BOSTON, MA | Previous registration |
| S•••••••• A••••••• L•• | National bd RIA | Jan 17, 2018 | Jul 13, 2018 | no | SARASOTA, FL | Previous registration |
| -8 |
| Firm change |
| Ibd to RIA |
| S•••••••• A••••••• L•• | F••••••• P••••••• A•• W•••••••• A••••••• | Jul 13, 2018 | Jul 13, 2018 | 0 | Bulk transfer | Ibd to new firm |