DFX Intelligence
Reading the graph
Reading the graph
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Advisor at A••••• W••••• A••••••• L••
WESTPORT, 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 |
|---|---|---|---|---|---|---|
| A••••• W••••• A••••••• L•• | Independent wealth | Feb 19, 2026 | n/a | yes | WESTPORT, CT | Current employment |
| S•••••• W••••• A••••••• L•• | Independent wealth | Apr 16, 2021 | Mar 5, 2026 | no | Westport, CT|WESTPORT, CT | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| S•••••• W••••• A••••••• L•• | A••••• W••••• A••••••• L•• | Mar 5, 2026 | Feb 19, 2026 | -14 | Firm change | RIA to new firm |
| M••••• S•••••• | S•••••• W••••• A••••••• L•• | May 12, 2021 | Apr 16, 2021 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 283816:339322:CT:2026-02-25 | Mar 5, 2026 | Feb 19, 2026 | WESTPORT, CT | Firm change |
| M••••• S•••••• | Wirehouse | Jun 1, 2009 | May 12, 2021 | no | Boston, MA|Westport, CT | Previous registration |
| M••••• S•••••• • C•• L•• | n/a | Apr 2, 2007 | Jun 1, 2009 | no | BOSTON, MA | Previous registration |
| M••••• S•••••• D• I••• | n/a | Feb 2, 2007 | Apr 2, 2007 | no | BOSTON, MA | Previous registration |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Wirehouse | Sep 13, 2004 | Feb 6, 2007 | no | BOSTON, MA|BOSTON, MA | Previous registration |
| W•••••• • R••• | Former SEC adviser | Jan 6, 2004 | Jun 18, 2004 | no | NORTH HAVEN, CT | Previous registration |
| -26 |
| Firm change |
| Wirehouse to RIA |
| M••••• S•••••• • C•• L•• | M••••• S•••••• | Jun 1, 2009 | Jun 1, 2009 | 0 | Bulk transfer | Other |
| M••••• S•••••• D• I••• | M••••• S•••••• • C•• L•• | Apr 2, 2007 | Apr 2, 2007 | 0 | Bulk transfer | Other |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | M••••• S•••••• D• I••• | Feb 6, 2007 | Feb 2, 2007 | -4 | Firm change | Other |
| W•••••• • R••• | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Jun 18, 2004 | Sep 13, 2004 | 87 | Firm change | Other |