DFX Intelligence
Reading the graph
Reading the graph
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Advisor at I•••••• I••••••••• M••••••••• 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 |
|---|---|---|---|---|---|---|
| I•••••• I••••••••• M••••••••• L•• | Independent wealth | Aug 10, 2026 | n/a | yes | NEW YORK, NY | Current employment |
| J••• M••••• S••••••••• L•• | Wirehouse | Dec 12, 2022 | Jul 16, 2023 | no | Mineola, NY | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| J••• M••••• S••••••••• L•• | I•••••• I••••••••• M••••••••• L•• | Jul 16, 2023 | Aug 10, 2026 | 1,121 | Firm change after gap | Wirehouse to RIA |
| P••••••• U••••• A•••••••• I••• | J••• M••••• S••••••••• L•• | Sep 12, 2022 | Dec 12, 2022 |
| P••••••• U••••• A•••••••• I••• | Former SEC adviser | Jul 3, 2020 | Sep 12, 2022 | no | WILMINGTON, DE | Previous registration |
| P••••••• S••••••••• I••• | Former SEC adviser | Jan 9, 2017 | Mar 31, 2020 | no | BRIDGEPORT, CT|BRIDGEPORT, CT|BRIDGEPORT, CT | Previous registration |
| J••• M••••• P•••••• W••••• A••••••• L•• | Former SEC adviser | May 28, 2015 | Nov 14, 2016 | no | NEW YORK, NY|SAN FRANCISCO, CA | Previous registration |
| 91 |
| Firm change |
| RIA to wirehouse |
| P••••••• S••••••••• I••• | P••••••• U••••• A•••••••• I••• | Mar 31, 2020 | Jul 3, 2020 | 94 | Bulk transfer | Other |
| J••• M••••• P•••••• W••••• A••••••• L•• | P••••••• S••••••••• I••• | Nov 14, 2016 | Jan 9, 2017 | 56 | Firm change | Other |