DFX Intelligence
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Reading the graph
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Advisor at L•• F•••••••• L••
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.
| Firm | Class | Began | Ended | Current | Branch | Basis |
|---|---|---|---|---|---|---|
| L•• F•••••••• L•• | Bd affiliated wealth | Aug 21, 2025 | n/a | yes | NEW YORK, NY | Current employment |
| F•••• H•••••• A•••••••• I•• | Former SEC adviser | Mar 27, 2024 | Aug 21, 2025 | no | New York, NY|MEMPHIS, TN | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| F•••• H•••••• A•••••••• I•• | L•• F•••••••• L•• | Aug 21, 2025 | Aug 21, 2025 | 0 | Bulk transfer | RIA to ibd |
| P••••••• S••••••••• I••• | F•••• H•••••• A•••••••• I•• | Aug 6, 2013 | Mar 27, 2024 |
| P••••••• S••••••••• I••• | Former SEC adviser | Sep 20, 2012 | Aug 6, 2013 | no | WETHERSFIELD, CT|BRIDGEPORT, CT | Previous registration |
| C•••• I••••••••• S••••••• C•••• | Former SEC adviser | Apr 24, 2002 | Nov 6, 2002 | no | NEW YORK, NY | Previous registration |
| 3,886 |
| Firm change after gap |
| Other |
| C•••• I••••••••• S••••••• C•••• | P••••••• S••••••••• I••• | Nov 6, 2002 | Sep 20, 2012 | 3,606 | Firm change after gap | Other |