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 L•• F•••••••• L••
NAPLES, FL | ESTERO, 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 |
|---|---|---|---|---|---|---|
| L•• F•••••••• L•• | Bd affiliated wealth | Jul 30, 2024 | n/a | yes | NAPLES, FL|ESTERO, FL | Current employment |
| P•••••• A•••••• G••••• L•• | Bd affiliated wealth | Oct 28, 2019 | Aug 5, 2024 | no | NAPLES, FL|PETERBOROUGH, NH|MORRISTOWN, NJ |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| P•••••• A•••••• G••••• L•• | L•• F•••••••• L•• | Aug 5, 2024 | Jul 30, 2024 | -6 | Firm change | Ibd to ibd |
| A•••••••• I••••••••• M••••••••• L•• | P•••••• A•••••• G••••• L•• | Dec 31, 2019 | Oct 28, 2019 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 155216:6413:NJ:2024-07-24 | Aug 5, 2024 | Jul 30, 2024 | MORRISTOWN, NJ | Firm change |
| A•••••••• I••••••••• M••••••••• L•• | Former SEC adviser | Apr 3, 2014 | Dec 31, 2019 | no | NAPLES, FL|Petersborough, NH | Previous registration |
| W••••••• R•••••••• M••••••••• I•• | Former SEC adviser | Mar 15, 2011 | Apr 28, 2014 | no | W•••••••, CT | Previous registration |
| W•••• F•••• A••••••• | Wirehouse | Sep 21, 2004 | Mar 15, 2011 | no | NAPLES, FL|NAPLES, FL | Previous registration |
| R•• C•••••• M••••••• L•• | National bd RIA | Nov 1, 2002 | Sep 10, 2004 | no | PETERBUROUGH, NH | Previous registration |
| A• G• E•••••• • S•••• I••• | n/a | Jan 22, 1998 | Nov 21, 2002 | no | KEENE, NH | Previous registration |
| -64 |
| Firm change after gap |
| RIA to RIA |
| W••••••• R•••••••• M••••••••• I•• | A•••••••• I••••••••• M••••••••• L•• | Apr 28, 2014 | Apr 3, 2014 | -25 | Firm change | Other |
| W•••• F•••• A••••••• | W••••••• R•••••••• M••••••••• I•• | Mar 15, 2011 | Mar 15, 2011 | 0 | Firm change | Other |
| R•• C•••••• M••••••• L•• | W•••• F•••• A••••••• | Sep 10, 2004 | Sep 21, 2004 | 11 | Firm change | Ibd to wirehouse |
| A• G• E•••••• • S•••• I••• | R•• C•••••• M••••••• L•• | Nov 21, 2002 | Nov 1, 2002 | -20 | Firm change | Other |