DFX Intelligence
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Reading the graph
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Advisor at F•••••••• F••••• O•••••• L••
Boca Raton, FL
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•••••••• F••••• O•••••• L•• | Independent wealth | Aug 8, 2023 | n/a | yes | Boca Raton, FL | Current employment |
| U••••• C•••••• F•••••••• A••••••• | Independent wealth | Nov 7, 2012 | Aug 31, 2023 | no | BOCA RATON, FL|BOCA RATON, FL|BOCA RATON, FL |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| U••••• C•••••• F•••••••• A••••••• | F•••••••• F••••• O•••••• L•• | Aug 31, 2023 | Aug 8, 2023 | -23 | Firm change | Ibd to new firm |
| E•••••••• C•••••• A•••••••• L•• | U••••• C•••••• F•••••••• A••••••• | Dec 19, 2012 | Nov 7, 2012 |
| E•••••••• C•••••• A•••••••• L•• | Former SEC adviser | Sep 12, 2007 | Dec 19, 2012 | no | BOCA RATON, FL | Previous registration |
| C••• D••••• I••• | Former SEC adviser | Sep 21, 2005 | Aug 21, 2007 | no | PALM BEACH, FL | Previous registration |
| C•••••• L•• | Independent wealth | Jun 12, 2001 | Aug 8, 2005 | no | FT LAUDERDALE, FL | Previous registration |
| -42 |
| Firm change after gap |
| Other |
| C••• D••••• I••• | E•••••••• C•••••• A•••••••• L•• | Aug 21, 2007 | Sep 12, 2007 | 22 | Firm change | Other |
| C•••••• L•• | C••• D••••• I••• | Aug 8, 2005 | Sep 21, 2005 | 44 | Firm change | Other |