DFX Intelligence
Reading the graph
Reading the graph
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Advisor at R••••••• I•••••••••
••• Locked
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 |
|---|---|---|---|---|---|---|
| R••••••• I••••••••• | Independent wealth | May 18, 2025 | n/a | yes | Port Jefferson, NY|Melbourne, FL|FT. LAUDERDALE, FL|WEST PALM BEACH, FL | Current employment |
| B• R•••• W••••• A•••••••• I••• | Bd affiliated wealth | Jan 5, 2017 | Oct 3, 2018 | no | NEW YORK, NY|NEW YORK, NY |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| B• R•••• W••••• A•••••••• I••• | R••••••• I••••••••• | Oct 3, 2018 | May 18, 2025 | 2,419 | Firm change after gap | Ibd to RIA |
| C•••••• O•• A•••••••• L•• | B• R•••• W••••• A•••••••• I••• | Aug 16, 2016 | Jan 5, 2017 |
| C•••••• O•• A•••••••• L•• | Former SEC adviser | Jan 28, 2015 | Aug 16, 2016 | no | SEATTLE, WA | Previous registration |
| C•••••• O•• F•••••••• A••••••• L•• | n/a | Oct 29, 2013 | Jan 28, 2015 | no | MELVILLE, NY|MELVILLE, NY | Previous registration |
| E•••••• C•••••• M••••••••• L•• | Former SEC adviser | Aug 27, 2012 | Oct 30, 2013 | no | ARLINGTON, VA | Previous registration |
| T• A••••••••• I••••••••• M••••••••• L•• | Former SEC adviser | Oct 26, 2010 | Aug 21, 2012 | no | MELVILLE, NY | Previous registration |
| T• A••••••••• I••• | Former SEC adviser | Oct 26, 2010 | Aug 21, 2012 | no | Huntington Station, NY | Previous registration |
| W•••••••• F•••••••• G••••• I••• | Former SEC adviser | Apr 28, 2010 | Oct 5, 2010 | no | FARMINGDALE, NY|W••••••••, GA|W••••••••, GA | Previous registration |
| C•••• I••••••••• S••••••• C•••• | Former SEC adviser | Jan 8, 2010 | Apr 8, 2010 | no | LAKE RONKONKOMA, NY|VALLEY STREAM, NY|VALLEY STREAM, NY|ELMONT, NY|HUNTINGTON STATION, NY|BELLMORE, NY | Previous registration |
| 142 |
| Firm change |
| Other |
| C•••••• O•• F•••••••• A••••••• L•• | C•••••• O•• A•••••••• L•• | Jan 28, 2015 | Jan 28, 2015 | 0 | Bulk transfer | Other |
| E•••••• C•••••• M••••••••• L•• | C•••••• O•• F•••••••• A••••••• L•• | Oct 30, 2013 | Oct 29, 2013 | -1 | Firm change | Other |
| T• A••••••••• I••••••••• M••••••••• L•• | E•••••• C•••••• M••••••••• L•• | Aug 21, 2012 | Aug 27, 2012 | 6 | Firm change | Other |
| T• A••••••••• I••• | T• A••••••••• I••••••••• M••••••••• L•• | Aug 21, 2012 | Oct 26, 2010 | -665 | Channel change | Other |
| W•••••••• F•••••••• G••••• I••• | T• A••••••••• I••• | Oct 5, 2010 | Oct 26, 2010 | 21 | Firm change | Other |
| C•••• I••••••••• S••••••• C•••• | W•••••••• F•••••••• G••••• I••• | Apr 8, 2010 | Apr 28, 2010 | 20 | Firm change | Other |