DFX Intelligence
Reading the graph
Reading the graph
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Advisor at I••• P••• W••••• M••••••••• I•••
NEWTOWN, 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 |
|---|---|---|---|---|---|---|
| I••• P••• W••••• M••••••••• I••• | State registered | Jan 27, 2021 | n/a | yes | NEWTOWN, CT | Current employment |
| I••• P••• W••••• M••••••••• I••• | State registered | Sep 9, 2020 | Dec 31, 2020 | no | NEWTOWN, CT | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| N••••••••• M••••• I••••••••• S••••••••• | I••• P••• W••••• M••••••••• I••• | Dec 31, 2018 | Sep 9, 2020 | 618 | Firm change after gap | Other |
| R••• A•••••••• L•• | N••••••••• M••••• I••••••••• S••••••••• | Jun 26, 2017 | Sep 25, 2017 |
| N••••••••• M••••• I••••••••• S••••••••• | No RAUM reported | Sep 25, 2017 | Dec 31, 2018 | no | Stamford, CT|BINGHAMTON, NY | Previous registration |
| R••• A•••••••• L•• | Former SEC adviser | Jan 19, 2016 | Jun 26, 2017 | no | DANBURY, CT | Previous registration |
| L•• F•••••••• L•• | Bd affiliated wealth | Oct 11, 2011 | Jan 19, 2016 | no | STAMFORD, CT|NORWALK, CT|DARIEN, CT|NEW BRITAIN, CT|NEWINGTON, CT|NEWINGTON, CT|GREENWICH, CT|STAMFORD, CT | Previous registration |
| U•••• F•••••••• S••••••• G••••• I••• | n/a | Feb 24, 2009 | Oct 11, 2011 | no | BLOOMFIELD, CT|HARTFORD, CT|NEWINGTON, CT|NEW BRITAIN, CT|HARTFORD, CT|SIMSBURY, CT|HARTFORD, CT|AVON, CT|NEW BRITAIN, CT|HARTFORD, CT|NEWINGTON, CT | Previous registration |
| 91 |
| Firm change |
| Other |
| L•• F•••••••• L•• | R••• A•••••••• L•• | Jan 19, 2016 | Jan 19, 2016 | 0 | Firm change | Other |
| U•••• F•••••••• S••••••• G••••• I••• | L•• F•••••••• L•• | Oct 11, 2011 | Oct 11, 2011 | 0 | Bulk transfer | Other |