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 W•••• F•••• A•••••••
GREENWICH, 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 |
|---|---|---|---|---|---|---|
| W•••• F•••• A••••••• | Wirehouse | Jul 7, 2026 | n/a | yes | GREENWICH, CT | Current employment |
| R•• C•••••• M••••••• L•• | National bd RIA | May 14, 2020 | Jul 16, 2026 | no | NEW YORK, NY|CORONA, NY | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| R•• C•••••• M••••••• L•• | W•••• F•••• A••••••• | Jul 16, 2026 | Jul 7, 2026 | -9 | Firm change | Ibd to wirehouse |
| M••••• S•••••• | R•• C•••••• M••••••• L•• | May 15, 2020 | May 14, 2020 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 31194:19616:NY:2026-07-16 | Jul 16, 2026 | Jul 7, 2026 | CORONA, NY | Firm change |
| 149777:31194:NY:2020-05-15 | May 15, 2020 | May 14, 2020 | NEW YORK, NY | Firm change |
| M••••• S•••••• |
| Wirehouse |
| Feb 1, 2013 |
| May 15, 2020 |
| no |
| New York, NY |
| Previous registration |
| J••• M••••• S••••••••• L•• | Wirehouse | Nov 10, 2009 | Feb 13, 2013 | no | NEW YORK, NY | Previous registration |
| J••• M••••• S••••••••• L•• | Wirehouse | Jan 18, 2008 | Mar 26, 2008 | no | NEW YORK, NY|NEW YORK, NY | Previous registration |
| -1 |
| Firm change |
| Wirehouse to ibd |
| J••• M••••• S••••••••• L•• | M••••• S•••••• | Feb 13, 2013 | Feb 1, 2013 | -12 | Firm change | Wirehouse to wirehouse |