DFX Intelligence
Reading the graph
Reading the graph
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Advisor at L•• E••••••••• L••
SHELTON, 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 |
|---|---|---|---|---|---|---|
| L•• E••••••••• L•• | Bd affiliated wealth | Nov 14, 2024 | n/a | yes | SHELTON, CT | Current employment |
| P•••• S••••••••• L•• | No RAUM reported | Feb 17, 2022 | Nov 14, 2024 | no | SHELTON, CT | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| P•••• S••••••••• L•• | L•• E••••••••• L•• | Nov 14, 2024 | Nov 14, 2024 | 0 | Bulk transfer | Ibd to new firm |
| W•••••• J••••• C•••••• M••••••••• I••• | P•••• S••••••••• L•• | Oct 29, 2021 | Feb 17, 2022 |
| W•••••• J••••• C•••••• M••••••••• I••• |
| Independent wealth |
| Mar 23, 2021 |
| Oct 29, 2021 |
| no |
| BRISTOL, CT |
| Previous registration |
| C•••••• S••••• • C••• I••• | National bd RIA | Apr 7, 2016 | Dec 10, 2020 | no | Fairfield, CT | Previous registration |
| V••• I••••••••• M••••••••• C•• L•• | Asset manager | Apr 5, 2012 | Nov 10, 2014 | no | NEW YORK, NY | Previous registration |
| C••••••• C••••••• I••• | Former SEC adviser | Mar 21, 2007 | Sep 13, 2010 | no | CINCINNATI, OH | Previous registration |
| C••••••••• I••••••••• L•• | Mixed wealth | Dec 15, 2005 | Sep 6, 2006 | no | NEW YORK, NY | Previous registration |
| C•••••••• G••••• M•••••• I••• | Bd affiliated wealth | Jan 26, 2004 | Dec 16, 2005 | no | STAMFORD, CT | Previous registration |
| 111 |
| Firm change |
| RIA to ibd |
| C•••••• S••••• • C••• I••• | W•••••• J••••• C•••••• M••••••••• I••• | Dec 10, 2020 | Mar 23, 2021 | 103 | Firm change | Ibd to RIA |
| V••• I••••••••• M••••••••• C•• L•• | C•••••• S••••• • C••• I••• | Nov 10, 2014 | Apr 7, 2016 | 514 | Firm change after gap | Other |
| C••••••• C••••••• I••• | V••• I••••••••• M••••••••• C•• L•• | Sep 13, 2010 | Apr 5, 2012 | 570 | Firm change after gap | Other |
| C••••••••• I••••••••• L•• | C••••••• C••••••• I••• | Sep 6, 2006 | Mar 21, 2007 | 196 | Firm change | Other |
| C•••••••• G••••• M•••••• I••• | C••••••••• I••••••••• L•• | Dec 16, 2005 | Dec 15, 2005 | -1 | Bulk transfer | Other |