DFX Intelligence
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Reading the graph
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Advisor at C••• L••
LONGBOAT KEY, FL
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 |
|---|---|---|---|---|---|---|
| C••• L•• | Mixed wealth | Jan 3, 2020 | n/a | yes | LONGBOAT KEY, FL | Current employment |
| H•••••••• A•••••••• L•• | Bd affiliated wealth | Apr 23, 2009 | Feb 28, 2019 | no | NEW CANAAN, CT|CHICAGO, IL|NEW CANAAN, CT | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| C••• L•• | H•••••••• A•••••••• L•• | Dec 31, 2019 | Apr 23, 2009 | -3,904 | Firm change after gap | Other |
| H•••••••• A•••••••• L•• | C••• L•• | Feb 28, 2019 | Jan 3, 2020 |
| C••• L•• | Mixed wealth | Sep 27, 2007 | Dec 31, 2019 | no | LONGBOAT KEY, FL | Previous registration |
| F••••••••• S••••• D•• S••••• F•••••••• • A••••••••• | Independent wealth | Aug 16, 2007 | Oct 1, 2009 | no | BASKING RIDGE, NJ | Previous registration |
| M•••••• L•••• I••••••••• M••••••• L• | n/a | Apr 14, 2005 | Feb 13, 2006 | no | NEW YORK, NY | Previous registration |
| Firm change |
| Ibd to RIA |
| F••••••••• S••••• D•• S••••• F•••••••• • A••••••••• | C••• L•• | Oct 1, 2009 | Sep 27, 2007 | -735 | Firm change after gap | Other |
| M•••••• L•••• I••••••••• M••••••• L• | F••••••••• S••••• D•• S••••• F•••••••• • A••••••••• | Feb 13, 2006 | Aug 16, 2007 | 549 | Firm change after gap | Other |