DFX Intelligence
Reading the graph
Reading the graph
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Advisor at P•• A••••••• S•••••••• L••
ALBANY, NY
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 |
|---|---|---|---|---|---|---|
| P•• A••••••• S•••••••• L•• | Independent wealth | Apr 8, 2021 | n/a | yes | ALBANY, NY | Current employment |
| R•• C•••••• M••••••• L•• | National bd RIA | Apr 11, 2012 | Jun 12, 2018 | no | ALBANY, NY|ALBANY, NY | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| R•• C•••••• M••••••• L•• | P•• A••••••• S•••••••• L•• | Jun 12, 2018 | Apr 8, 2021 | 1,031 | Firm change after gap | Ibd to RIA |
| A••••• P•••••• I••••••••• A•••• M••••••••• I••• | R•• C•••••• M••••••• L•• | Mar 22, 2007 | Apr 11, 2012 |
| A••••• P•••••• I••••••••• A•••• M••••••••• I••• | Former SEC adviser | Apr 20, 2006 | Mar 22, 2007 | no | BOSTON, MA | Previous registration |
| A••••• A•••• M••••••••• U•• I••• | Former SEC adviser | May 25, 2004 | Apr 20, 2006 | no | BOSTON, MA | Previous registration |
| J••• H•••••• I••••••••• M••••••••• L•• | Asset manager | Jun 13, 2003 | May 12, 2004 | no | BOSTON, MA | Previous registration |
| M••••••• I••••••••• M••••••••• ••• L•• | Asset manager | Apr 22, 2003 | May 14, 2004 | no | BOSTON, MA | Previous registration |
| 1,847 |
| Firm change after gap |
| Other |
| A••••• A•••• M••••••••• U•• I••• | A••••• P•••••• I••••••••• A•••• M••••••••• I••• | Apr 20, 2006 | Apr 20, 2006 | 0 | Bulk transfer | Other |
| M••••••• I••••••••• M••••••••• ••• L•• | J••• H•••••• I••••••••• M••••••••• L•• | May 14, 2004 | Jun 13, 2003 | -336 | Firm change after gap | Other |
| J••• H•••••• I••••••••• M••••••••• L•• | A••••• A•••• M••••••••• U•• I••• | May 12, 2004 | May 25, 2004 | 13 | Firm change | Other |