DFX Intelligence
Reading the graph
Reading the graph
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Advisor at F•••• P••••••• W•••••• L••
Westport, 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•••• P••••••• W•••••• L•• | Independent wealth | Nov 7, 2024 | n/a | yes | Westport, CT | Current employment |
| G•• F•••••••• S••••••••• L•• | Former SEC adviser | Jan 2, 2019 | Dec 6, 2024 | no | Westport, CT|Westport, CT|WEST HARTFORD, CT |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| G•• F•••••••• S••••••••• L•• | F•••• P••••••• W•••••• L•• | Dec 6, 2024 | Nov 7, 2024 | -29 | Bulk transfer | RIA to RIA |
| R•••••• A••••••• | G•• F•••••••• S••••••••• L•• | Jan 2, 2019 | Jan 2, 2019 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 105927:284758:CT:2019-01-02 | Jan 2, 2019 | Jan 2, 2019 | WESTPORT, CT | Firm change |
| R•••••• A••••••• | Former SEC adviser | May 15, 2015 | Jan 2, 2019 | no | WESTPORT, CT | Previous registration |
| U•• F•••••••• S••••••• I••• | Wirehouse | Oct 24, 2007 | Jul 24, 2008 | no | STAMFORD, CT | Previous registration |
| 0 |
| Channel change |
| Other |
| U•• F•••••••• S••••••• I••• | R•••••• A••••••• | Jul 24, 2008 | May 15, 2015 | 2,486 | Firm change after gap | Other |