DFX Intelligence
Reading the graph
Reading the graph
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Advisor at W••••••••• A•••••••
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 |
|---|---|---|---|---|---|---|
| W••••••••• A••••••• | Independent wealth | Mar 29, 2021 | n/a | yes | NEW YORK, NY | Current employment |
| W••••••••• A••••••• | Former SEC adviser | Sep 22, 2015 | Dec 31, 2020 | no | NEW YORK, NY | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| W••••••••• A••••••• | W••••••••• A••••••• | Dec 31, 2020 | Mar 29, 2021 | 88 | Bulk transfer | RIA to RIA |
| H••••••• W••••• M••••••••• L•• | W••••••••• A••••••• | Sep 1, 2015 | Sep 22, 2015 |
| H••••••• W••••• M••••••••• L•• |
| Former SEC adviser |
| Sep 19, 2013 |
| Sep 1, 2015 |
| no |
| NEW YORK, NY |
| Previous registration |
| H••••••• C•••••• A•••••••• L•• | Former SEC adviser | Mar 2, 2010 | Feb 22, 2012 | no | NEW YORK, NY|NEW YORK, NY|WAYNE, PA | Previous registration |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Wirehouse | Oct 23, 2009 | Dec 8, 2009 | no | GARDEN CITY, NY|GARDEN CITY, NY | Previous registration |
| B••• O• A•••••• I••••••••• S•••••••• I••• | n/a | Nov 5, 2008 | Oct 23, 2009 | no | GARDEN CITY, NY|MELVILLE, NY|GARDEN CITY, NY | Previous registration |
| L••••• A•••• M••••••••• L•• | Other adviser | Jun 5, 2003 | May 3, 2004 | no | NEW YORK, NY | Previous registration |
| 21 |
| Firm change |
| Other |
| H••••••• C•••••• A•••••••• L•• | H••••••• W••••• M••••••••• L•• | Feb 22, 2012 | Sep 19, 2013 | 575 | Firm change after gap | Other |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | H••••••• C•••••• A•••••••• L•• | Dec 8, 2009 | Mar 2, 2010 | 84 | Firm change | Other |
| B••• O• A•••••• I••••••••• S•••••••• I••• | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Oct 23, 2009 | Oct 23, 2009 | 0 | Bulk transfer | Other |
| L••••• A•••• M••••••••• L•• | B••• O• A•••••• I••••••••• S•••••••• I••• | May 3, 2004 | Nov 5, 2008 | 1,647 | Firm change after gap | Other |