DFX Intelligence
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Reading the graph
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Advisor at U••• B•••••• A•••••••• L••
NEW YORK, 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 |
|---|---|---|---|---|---|---|
| U••• B•••••• A•••••••• L•• | Bd affiliated wealth | Jun 12, 2026 | n/a | yes | NEW YORK, NY | Current employment |
| J••• M••••• S••••••••• L•• | Wirehouse | Mar 29, 2021 | Nov 2, 2025 | no | Greenwich, CT | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| J••• M••••• S••••••••• L•• | U••• B•••••• A•••••••• L•• | Nov 2, 2025 | Jun 12, 2026 | 222 | Firm change | Wirehouse to ibd |
| N•••••••• B••••• B• L•• | J••• M••••• S••••••••• L•• | Feb 2, 2021 | Mar 29, 2021 |
| N•••••••• B••••• B• L•• | No RAUM reported | Jul 24, 2019 | Feb 2, 2021 | no | NEW YORK, NY | Previous registration |
| N••••••• A••••••• L•• | State registered | Feb 4, 2009 | Sep 27, 2019 | no | SHELTON, CT | Previous registration |
| 55 |
| Firm change |
| Other |
| N••••••• A••••••• L•• | N•••••••• B••••• B• L•• | Sep 27, 2019 | Jul 24, 2019 | -65 | Firm change after gap | Other |