DFX Intelligence
Reading the graph
Reading the graph
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Advisor at C•••••••• I••••••••• R••••••• A•••••••• I•••
Sarasota, 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 |
|---|---|---|---|---|---|---|
| C•••••••• I••••••••• R••••••• A•••••••• I••• | Bd affiliated wealth | Apr 29, 2025 | n/a | yes | Sarasota, FL | Current employment |
| K••••• A•••••••• I••• | Bd affiliated wealth | Nov 20, 2024 | May 2, 2025 | no | Sarasota, FL|FT. LAUDERDALE, FL |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| K••••• A•••••••• I••• | C•••••••• I••••••••• R••••••• A•••••••• I••• | May 2, 2025 | Apr 29, 2025 | -3 | Firm change | Ibd to ibd |
| I• A••••••• S•••••••• I••• | K••••• A•••••••• I••• | Nov 19, 2024 | Nov 20, 2024 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 140808:134139:FL:2025-04-29 | May 2, 2025 | Apr 29, 2025 | FT LAUDERDALE, FL | Firm change |
| I• A••••••• S•••••••• I••• | Former SEC adviser | Mar 22, 2019 | Nov 19, 2024 | no | SARASOTA, FL|BEDMINSTER, NJ|SARASOTA, FL | Previous registration |
| I••••••••• A••••• I••••••••• M••••••••• L•• | Bd affiliated wealth | Jan 9, 2019 | Mar 22, 2019 | no | SARASOTA, FL | Previous registration |
| H• B•••• I••• | Former SEC adviser | Dec 1, 2014 | Jan 2, 2019 | no | Sarasota, FL|Rockville, MD|Sarasota, FL | Previous registration |
| R•••••• J•••• F•••••••• S••••••• A•••••••• I•• | Bd affiliated wealth | Mar 25, 2013 | Sep 9, 2014 | no | LAKEWOOD RANCH, FL | Previous registration |
| R•••••• J•••• • A••••••••• I••• | National bd RIA | Sep 22, 2008 | Mar 8, 2013 | no | ST. PETERSBURG, FL|LAKEWOOD RANCH, FL | Previous registration |
| S••••••• F•••••••• C•••• | Independent wealth | Mar 18, 1998 | Jun 1, 2009 | no | SARASOTA, FL | Previous registration |
| 1 |
| Firm change |
| Ibd to ibd |
| I••••••••• A••••• I••••••••• M••••••••• L•• | I• A••••••• S•••••••• I••• | Mar 22, 2019 | Mar 22, 2019 | 0 | Firm change | Ibd to ibd |
| H• B•••• I••• | I••••••••• A••••• I••••••••• M••••••••• L•• | Jan 2, 2019 | Jan 9, 2019 | 7 | Firm change | Ibd to ibd |
| R•••••• J•••• F•••••••• S••••••• A•••••••• I•• | H• B•••• I••• | Sep 9, 2014 | Dec 1, 2014 | 83 | Firm change | Other |
| R•••••• J•••• • A••••••••• I••• | R•••••• J•••• F•••••••• S••••••• A•••••••• I•• | Mar 8, 2013 | Mar 25, 2013 | 17 | Firm change | Other |
| S••••••• F•••••••• C•••• | R•••••• J•••• • A••••••••• I••• | Jun 1, 2009 | Sep 22, 2008 | -252 | Firm change after gap | Other |