DFX Intelligence
Reading the graph
Reading the graph
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Advisor at F•••••••• A••••••• L••
CHICAGO, IL | WINDSOR, 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 |
|---|---|---|---|---|---|---|
| F•••••••• A••••••• L•• | Mixed wealth | Mar 2, 2021 | n/a | yes | CHICAGO, IL|WINDSOR, CT | Current employment |
| F•••••••• I••••••••• A•••••••• L•• | Former SEC adviser | Jul 19, 2017 | Dec 31, 2020 | no | WINDSOR, CT | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| F•••••••• I••••••••• A•••••••• L•• | F•••••••• A••••••• L•• | Dec 31, 2020 | Mar 2, 2021 | 61 | Bulk transfer | Other |
| V••• F•••••••• A•••••••• I••• | F•••••••• I••••••••• A•••••••• L•• | Jun 30, 2017 | Jul 19, 2017 |
| V••• F•••••••• A•••••••• I••• | Bd affiliated wealth | Apr 30, 2010 | Jun 30, 2017 | no | GLASTONBURY, CT|WETHERSFIELD, CT | Previous registration |
| M•• F•••••••• S•••••••• I••• | Former SEC adviser | May 5, 2009 | Apr 30, 2010 | no | GLASTONBURY, CT | Previous registration |
| 19 |
| Firm change |
| Other |
| M•• F•••••••• S•••••••• I••• | V••• F•••••••• A•••••••• I••• | Apr 30, 2010 | Apr 30, 2010 | 0 | Firm change | Other |