DFX Intelligence
Reading the graph
Reading the graph
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Advisor at S••••• W••••• M••••••••• L••
SAN FRANCISCO, CA | Fairfield, CT
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 |
|---|---|---|---|---|---|---|
| S••••• W••••• M••••••••• L•• | Independent wealth | Sep 5, 2023 | n/a | yes | SAN FRANCISCO, CA|Fairfield, CT | Current employment |
| U•• F•••••••• S••••••• I••• | Wirehouse | Aug 23, 2019 | Mar 27, 2023 | no | WEEHAWKEN, NJ|Weehawken, NJ |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| U•• F•••••••• S••••••• I••• | S••••• W••••• M••••••••• L•• | Mar 27, 2023 | Sep 5, 2023 | 162 | Firm change | Wirehouse to RIA |
| D••••••• B••• S••••••••• I••• | U•• F•••••••• S••••••• I••• | Jul 29, 2019 | Aug 23, 2019 |
| D••••••• B••• S••••••••• I••• | No RAUM reported | Apr 27, 2018 | Jul 29, 2019 | no | NEW YORK, NY | Previous registration |
| C••••• S••••• S••••••••• •••• L•• | Former SEC adviser | Jun 25, 2008 | Jun 24, 2016 | no | NEW YORK, NY | Previous registration |
| L••••••• A•••• M••••••••• L•• | Asset manager | Mar 21, 2006 | Jun 25, 2008 | no | NEW YORK, NY | Previous registration |
| C••••• S••••• S••••••••• •••• L•• | Former SEC adviser | Nov 20, 2003 | Mar 21, 2006 | no | NEW YORK, NY | Previous registration |
| 25 |
| Firm change |
| Other |
| C••••• S••••• S••••••••• •••• L•• | D••••••• B••• S••••••••• I••• | Jun 24, 2016 | Apr 27, 2018 | 672 | Firm change after gap | Other |
| L••••••• A•••• M••••••••• L•• | C••••• S••••• S••••••••• •••• L•• | Jun 25, 2008 | Jun 25, 2008 | 0 | Firm change | Other |
| C••••• S••••• S••••••••• •••• L•• | L••••••• A•••• M••••••••• L•• | Mar 21, 2006 | Mar 21, 2006 | 0 | Firm change | Other |