DFX Intelligence
Reading the graph
Reading the graph
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Advisor at C•••••••• I••••••••• R••••••• A•••••••• I•••
Towaco, NJ | Boca Raton, FL
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 |
|---|---|---|---|---|---|---|
| C•••••••• I••••••••• R••••••• A•••••••• I••• | Bd affiliated wealth | Feb 2, 2026 | n/a | yes | Boca Raton, FL|Towaco, NJ | Current employment |
| L•• F•••••••• L•• | Bd affiliated wealth | May 1, 2025 | Feb 4, 2026 | no | TOWACO, NJ|BOCA RATON, FL |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| L•• F•••••••• L•• | C•••••••• I••••••••• R••••••• A•••••••• I••• | Feb 4, 2026 | Feb 2, 2026 | -2 | Firm change | Ibd to ibd |
| G•••• P•••• A•••••••• L•• | L•• F•••••••• L•• | May 2, 2025 | May 1, 2025 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 6413:313171:NJ:2022-10-26 | Oct 26, 2022 | Oct 18, 2022 | TOWACO, NJ | Firm change |
| G•••• P•••• A•••••••• L•• | Former SEC adviser | Oct 18, 2022 | May 2, 2025 | no | Boca Raton, FL|ROCKVILLE, MD|Towaco, NJ | Previous registration |
| L•• F•••••••• L•• | Bd affiliated wealth | Feb 14, 2018 | Oct 26, 2022 | no | TOWACO, NJ | Previous registration |
| S•• I••••••••• I••• | Former SEC adviser | Dec 17, 2004 | Feb 14, 2018 | no | WEST ORANGE, NJ|WEST ORANGE, NJ|TOWACO, NJ|APPLETON, WI | Previous registration |
| W••••• S••••• S••••••••• I••• | Former SEC adviser | Aug 1, 2003 | Jan 11, 2005 | no | WEST ORANGE, NJ | Previous registration |
| N••••• • L•••• S••••••••• I••• | n/a | May 9, 2001 | Aug 1, 2003 | no | WEST ORANGE, NJ | Previous registration |
| -1 |
| Bulk transfer |
| Ibd to ibd |
| L•• F•••••••• L•• | G•••• P•••• A•••••••• L•• | Oct 26, 2022 | Oct 18, 2022 | -8 | Firm change | RIA to ibd |
| S•• I••••••••• I••• | L•• F•••••••• L•• | Feb 14, 2018 | Feb 14, 2018 | 0 | Bulk transfer | Ibd to RIA |
| W••••• S••••• S••••••••• I••• | S•• I••••••••• I••• | Jan 11, 2005 | Dec 17, 2004 | -25 | Firm change | Other |
| N••••• • L•••• S••••••••• I••• | W••••• S••••• S••••••••• I••• | Aug 1, 2003 | Aug 1, 2003 | 0 | Bulk transfer | Other |