DFX Intelligence
Reading the graph
Reading the graph
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Advisor at L•• F•••••••• L••
SHELTON, CT
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 |
|---|---|---|---|---|---|---|
| L•• F•••••••• L•• | Bd affiliated wealth | May 8, 2025 | n/a | yes | SHELTON, CT | Current employment |
| P•••••••• A••••••• | National bd RIA | Jul 25, 2022 | Feb 21, 2023 | no | MAHWAH, NJ | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| P•••••••• A••••••• | L•• F•••••••• L•• | Feb 21, 2023 | May 8, 2025 | 807 | Firm change after gap | Ibd to ibd |
| B••••••••• C•••••• M••••••••• L•• | P•••••••• A••••••• | Dec 31, 2020 | Jul 25, 2022 |
| B••••••••• C•••••• M••••••••• L•• |
| Independent wealth |
| Dec 4, 2019 |
| Dec 31, 2020 |
| no |
| WHEATON, IL|Brookfield, CT |
| Previous registration |
| A•• I••••••••• S•••••••• I••• | Asset manager | Nov 30, 2011 | Nov 25, 2019 | no | SHELTON, CT | Previous registration |
| C•••• I••••••••• S••••••• C•••• | Former SEC adviser | Dec 9, 2009 | Nov 11, 2011 | no | FAIRFIELD, CT|SHELTON, CT|STRATFORD, CT|FAIRFIELD, CT|FAIRFIELD, CT|DANBURY, CT|GREENWICH, CT|STRATFORD, CT | Previous registration |
| 571 |
| Firm change after gap |
| RIA to ibd |
| A•• I••••••••• S•••••••• I••• | B••••••••• C•••••• M••••••••• L•• | Nov 25, 2019 | Dec 4, 2019 | 9 | Firm change | Other |
| C•••• I••••••••• S••••••• C•••• | A•• I••••••••• S•••••••• I••• | Nov 11, 2011 | Nov 30, 2011 | 19 | Firm change | Other |