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•••••• M•••••••• I••••••••• A••••••• I••
Milford, 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•••••• M•••••••• I••••••••• A••••••• I•• | Independent wealth | Jan 12, 2021 | n/a | yes | Milford, CT | Current employment |
| W•••••• M•••••••• I••••••••• A••••••• I•• | Independent wealth | Nov 19, 2019 | Dec 31, 2020 | no | Milford, CT |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| C••••• A•••••• N••••••• L•• | W•••••• M•••••••• I••••••••• A••••••• I•• | Nov 10, 2014 | Nov 19, 2019 | 1,835 | Firm change after gap | Other |
| W••••• S••••• S••••••••• I••• | C••••• A•••••• N••••••• L•• | Sep 3, 2013 | Sep 3, 2013 |
| C••••• A•••••• N••••••• L•• | Former SEC adviser | Sep 3, 2013 | Nov 10, 2014 | no | MILFORD, CT | Previous registration |
| W••••• S••••• S••••••••• I••• | Former SEC adviser | Dec 3, 2009 | Sep 3, 2013 | no | NORTH HAVEN, CT|MILFORD, CT | Previous registration |
| O•••• F•• I••• | Former SEC adviser | Mar 14, 2003 | Dec 3, 2009 | no | MILFORD, CT|MILFORD, CT | Previous registration |
| P•••••• A••••••• S••••••• I•• | n/a | Dec 2, 1996 | Mar 25, 2003 | no | MILFORD, CT | Previous registration |
| 0 |
| Firm change |
| Other |
| O•••• F•• I••• | W••••• S••••• S••••••••• I••• | Dec 3, 2009 | Dec 3, 2009 | 0 | Firm change | Other |
| P•••••• A••••••• S••••••• I•• | O•••• F•• I••• | Mar 25, 2003 | Mar 14, 2003 | -11 | Firm change | Other |