DFX Intelligence
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Reading the graph
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Advisor at F•••• P••••••• W•••••• L••
Westport, 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 |
|---|---|---|---|---|---|---|
| F•••• P••••••• W•••••• L•• | Independent wealth | Nov 7, 2024 | n/a | yes | Westport, CT | Current employment |
| G•• F•••••••• S••••••••• L•• | Former SEC adviser | Aug 16, 2022 | Dec 6, 2024 | no | Westport, CT|WEST HARTFORD, CT |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| G•• F•••••••• S••••••••• L•• | F•••• P••••••• W•••••• L•• | Dec 6, 2024 | Nov 7, 2024 | -29 | Bulk transfer | RIA to RIA |
| C•••••• S••••• • C••• I••• | G•• F•••••••• S••••••••• L•• | Aug 2, 2022 | Aug 16, 2022 |
| C•••••• S••••• • C••• I••• | National bd RIA | Jun 23, 2010 | Aug 2, 2022 | no | Stamford, CT | Previous registration |
| C•••• I••••••••• S••••••• C•••• | Former SEC adviser | Jul 14, 2009 | Jun 7, 2010 | no | WHITE PLAINS, NY | Previous registration |
| S•••••••• A••••••• L•• | National bd RIA | Jun 6, 1997 | Dec 1, 2008 | no | GREENWICH, CT | Previous registration |
| 14 |
| Firm change |
| Ibd to RIA |
| C•••• I••••••••• S••••••• C•••• | C•••••• S••••• • C••• I••• | Jun 7, 2010 | Jun 23, 2010 | 16 | Firm change | Other |
| S•••••••• A••••••• L•• | C•••• I••••••••• S••••••• C•••• | Dec 1, 2008 | Jul 14, 2009 | 225 | Firm change | Other |