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CRD 154632
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.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| G••• M••• S••••••• | n/a | NEW YORK, NY | 4 | 23 | 1 | yes |
| P•••• I•••••• C••••••• | n/a | NEW YORK, NY | 4 | 34 |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 1 | 2 | -1 | n/a | 0 | 1 | 0 | 5 | 3 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| A•••• • A••••••• G••••• P••••••• | 2 | Jul 10, 2020 | Jun 28, 2020 | WESTON, CT | Team lift out | Other | 33.3% |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| M••••••••• A•••••••• L••• | 2 | Mar 11, 2019 | May 1, 2019 | NEW YORK, NY | Team lift out | RIA to state RIA | 20.0% |
| yes |
| R•••• E••••• M••• | n/a | NEW YORK, NY | 4 | 23 | 1 | yes |
| S•••• M••••• | n/a | Saint Petersburg, FL | NEW YORK, NY | 4 | 17 | 5 | yes |
| S••• M••••• R•••••••• | n/a | NEW YORK, NY | 2 | 16 | 2 | yes |
| T•••••••• S•••••• B•••• | n/a | NEW YORK, NY | 1 | 31 | 5 | yes |
| W•••••• A••••• B•••• | n/a | Manorville, NY | NEW YORK, NY | 1 | 13 | n/a | yes |
| C••••• J••••• D•••• | n/a | NEW YORK, NY | 0 | 12 | n/a | yes |
| W•••••• E•••••• R••••• | n/a | NEW YORK, NY | 0 | 20 | 6 | yes |