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 S••••• A•••• M••••••••• U•• I•••
••• Locked
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Firm | Class | Began | Ended | Current | Branch | Basis |
|---|---|---|---|---|---|---|
| R••••••• C•••••• I••••••••• C••••••••• | Asset manager | Aug 1, 2013 | n/a | yes | CARLSBAD, CA|Darien, CT | Current employment |
| S••••• A•••• M••••••••• U•• I••• | Mixed wealth | Oct 25, 2012 | n/a | yes | DARIEN, CT|Darien, CT | Current employment |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| A••••••• A•••••••• L•• | S••••• A•••• M••••••••• U•• I••• | Oct 5, 2012 | Oct 25, 2012 | 20 | Firm change | Other |
| G••••• A•••••••• L•• | A••••••• A•••••••• L•• | Jul 11, 2011 | Apr 12, 2012 |
| A••••••• A•••••••• L•• | Former SEC adviser | Apr 12, 2012 | Oct 5, 2012 | no | SAN JUAN CAPISTRANO, CA | Previous registration |
| G••••• A•••••••• L•• | Former SEC adviser | Jun 2, 2010 | Jul 11, 2011 | no | CHICAGO, IL | Previous registration |
| G••••• A•••••••• L•• | Former SEC adviser | Apr 6, 2005 | Jun 2, 2010 | no | CHICAGO, IL | Previous registration |
| I••••• I••••••••• | Former SEC adviser | Jul 20, 2004 | Mar 17, 2005 | no | CHICAGO, IL | Previous registration |
| 276 |
| Firm change |
| Other |
| I••••• I••••••••• | G••••• A•••••••• L•• | Mar 17, 2005 | Apr 6, 2005 | 20 | Firm change | Other |