DFX Intelligence
Reading the graph
Reading the graph
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Advisor at S•••••••• A••••••• L••
NEW YORK, NY | YONKERS, 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 |
|---|---|---|---|---|---|---|
| S•••••••• A••••••• L•• | National bd RIA | Mar 31, 2025 | n/a | yes | NEW YORK, NY|YONKERS, NY|NEW YORK, NY | Current employment |
| F••••••• P••••••• A•• W•••••••• A••••••• | Former SEC adviser | Oct 14, 2020 | Mar 31, 2025 | no | NEW YORK, NY |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| F••••••• P••••••• A•• W•••••••• A••••••• | S•••••••• A••••••• L•• | Mar 31, 2025 | Mar 31, 2025 | 0 | Bulk transfer | Ibd to ibd |
| T• A••••••••• I••• | T• A••••••••• I••••••••• M••••••••• L•• | Apr 22, 2019 | Oct 9, 2018 |
| T• A••••••••• I••••••••• M••••••••• L•• | Former SEC adviser | Oct 9, 2018 | Apr 22, 2019 | no | Columbia, MD | Previous registration |
| T• A••••••••• I••• | Former SEC adviser | Oct 9, 2018 | Apr 22, 2019 | no | Columbia, MD | Previous registration |
| -195 |
| Channel change |
| Other |
| T• A••••••••• I••••••••• M••••••••• L•• | F••••••• P••••••• A•• W•••••••• A••••••• | Apr 22, 2019 | Oct 14, 2020 | 541 | Firm change after gap | RIA to ibd |