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 L•• F•••••••• L••
••• 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 |
|---|---|---|---|---|---|---|
| L•• F•••••••• L•• | Bd affiliated wealth | May 2, 2023 | n/a | yes | WESTPORT, CT|NEW CANAAN, CT|TRUMBULL, CT | Current employment |
| P•••• S••••••••• L•• | No RAUM reported | Feb 18, 2021 | May 19, 2023 | no | New Canaan, CT|SHELTON, CT |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| P•••• S••••••••• L•• | L•• F•••••••• L•• | May 19, 2023 | May 2, 2023 | -17 | Firm change | Ibd to ibd |
| A••••• A•••••••• L•• | P•••• S••••••••• L•• | Mar 4, 2021 | Feb 18, 2021 |
| A••••• A•••••••• L•• | Independent wealth | Jun 10, 2019 | Mar 4, 2021 | no | NORTH WHITE PLAINS, NY | Previous registration |
| A••••• A•• P••••••• S••••••• | Bd affiliated wealth | Feb 18, 2014 | Dec 24, 2014 | no | STAMFORD, CT | Previous registration |
| S•••••••• A••••••• L•• | National bd RIA | Jan 21, 2009 | Dec 24, 2013 | no | GREENWICH, CT | Previous registration |
| Firm change |
| RIA to ibd |
| A••••• A•• P••••••• S••••••• | A••••• A•••••••• L•• | Dec 24, 2014 | Jun 10, 2019 | 1,629 | Firm change after gap | Other |
| S•••••••• A••••••• L•• | A••••• A•• P••••••• S••••••• | Dec 24, 2013 | Feb 18, 2014 | 56 | Firm change | Other |