DFX Intelligence
Reading the graph
Reading the graph
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Advisor at R•• C•••••• M••••••• L••
BOCA RATON, FL | Wellington, 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 |
|---|---|---|---|---|---|---|
| R•• C•••••• M••••••• L•• | National bd RIA | Jan 18, 2022 | n/a | yes | BOCA RATON, FL|Wellington, FL | Current employment |
| T••••• A••••••• S•••••••• I••• | Bd affiliated wealth | Mar 2, 2021 | Jan 24, 2022 | no | PALM BEACH, FL |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| T••••• A••••••• S•••••••• I••• | R•• C•••••• M••••••• L•• | Jan 24, 2022 | Jan 18, 2022 | -6 | Firm change | Ibd to ibd |
| B••• S••••••••• L•• | T••••• A••••••• S•••••••• I••• | Mar 2, 2021 | Mar 2, 2021 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 283390:31194:FL:2022-01-18 | Jan 24, 2022 | Jan 18, 2022 | PALM BEACH, FL | Firm change |
| 8174:142785:FL:2016-05-03 | May 3, 2016 | Apr 28, 2016 | BOCA RATON, FL | Firm change |
| B••• S••••••••• L•• | Former SEC adviser | Apr 28, 2016 | Mar 2, 2021 | no | Palm Beach, FL|RICHMOND, VA | Previous registration |
| U•• F•••••••• S••••••• I••• | Wirehouse | Jul 25, 2011 | May 3, 2016 | no | BOCA RATON, FL | Previous registration |
| O••••••••• • C•• I••• | Bd affiliated wealth | Feb 9, 2007 | Jul 26, 2011 | no | BOCA RATON, FL | Previous registration |
| W•••• F•••• A••••••• | Wirehouse | Sep 16, 2002 | Feb 5, 2007 | no | DELRAY BEACH, FL|DELRAY BEACH, FL | Previous registration |
| R•••••• J•••• • A••••••••• I••• | National bd RIA | Jul 18, 2000 | Sep 11, 2002 | no | BOCA RATON, FL | Previous registration |
| 0 |
| Bulk transfer |
| Ibd to ibd |
| U•• F•••••••• S••••••• I••• | B••• S••••••••• L•• | May 3, 2016 | Apr 28, 2016 | -5 | Firm change | Other |
| O••••••••• • C•• I••• | U•• F•••••••• S••••••• I••• | Jul 26, 2011 | Jul 25, 2011 | -1 | Firm change | Other |
| W•••• F•••• A••••••• | O••••••••• • C•• I••• | Feb 5, 2007 | Feb 9, 2007 | 4 | Firm change | Other |
| R•••••• J•••• • A••••••••• I••• | W•••• F•••• A••••••• | Sep 11, 2002 | Sep 16, 2002 | 5 | Firm change | Ibd to wirehouse |