DFX Intelligence
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Advisor at C••••• G•••• 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 |
|---|---|---|---|---|---|---|
| C••••• G•••• L•• | Independent wealth | May 28, 2021 | n/a | yes | NEW YORK, NY | Current employment |
| C••••••••• F•••••••• N•••••• | National bd RIA | Jul 31, 2013 | Sep 2, 2020 | no | PRINCETON, NJ|WALTHAM, MA|Freehold, NJ|Hopewell, NJ|Pennington, NJ|New York, NY |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| C••••••••• F•••••••• N•••••• | C••••• G•••• L•• | Sep 2, 2020 | May 28, 2021 | 268 | Firm change | Ibd to RIA |
| C••••• A••••••• L•• | C••••••••• F•••••••• N•••••• | Jul 10, 2013 | Jul 31, 2013 |
| C••••• A••••••• L•• | Former SEC adviser | Jan 3, 2011 | Jul 10, 2013 | no | RED BANK, NJ | Previous registration |
| W•••• A••••••• S••••••• | Former SEC adviser | Jan 7, 2010 | Jan 4, 2011 | no | FREEHOLD, NJ|LINCROFT, NJ|FREEHOLD, NJ | Previous registration |
| W•••• A••••••• S••••••• | Former SEC adviser | Apr 1, 2009 | May 15, 2009 | no | FREEHOLD, NJ|LINCROFT, NJ | Previous registration |
| A•••• C••••••• L•• | n/a | Oct 17, 2008 | Feb 3, 2010 | no | FREEHOLD, NJ | Previous registration |
| 21 |
| Firm change |
| Other |
| W•••• A••••••• S••••••• | C••••• A••••••• L•• | Jan 4, 2011 | Jan 3, 2011 | -1 | Firm change | Other |
| A•••• C••••••• L•• | W•••• A••••••• S••••••• | Feb 3, 2010 | Apr 1, 2009 | -308 | Firm change after gap | Other |