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 U•• F•••••••• S••••••• I•••
WASHINGTON, DC
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 |
|---|---|---|---|---|---|---|
| U•• F•••••••• S••••••• I••• | Wirehouse | Jan 16, 2018 | n/a | yes | WASHINGTON, DC | Current employment |
| M••••••• I••••••••• M••••••••• ••• L•• | Asset manager | Dec 13, 2012 | Jun 23, 2016 | no | BOSTON, MA|BOSTON, MA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| M••••••• I••••••••• M••••••••• ••• L•• | U•• F•••••••• S••••••• I••• | Jun 23, 2016 | Jan 16, 2018 | 572 | Firm change after gap | Other |
| J••• H•••••• I••••••••• M••••••••• L•• | M••••••• I••••••••• M••••••••• ••• L•• | Dec 31, 2010 | Feb 26, 2008 |
| M••••••• I••••••••• M••••••••• ••• L•• | Asset manager | Feb 26, 2008 | Feb 12, 2009 | no | BOSTON, MA | Previous registration |
| J••• H•••••• I••••••••• M••••••••• L•• | Asset manager | Apr 12, 2006 | Dec 31, 2010 | no | BOSTON, MA | Previous registration |
| B•• M••••• S••••••••• C••••••••• | Other adviser | May 4, 2005 | Apr 5, 2006 | no | NEW YORK, NY | Previous registration |
| C•••• I••••••••• S••••••• C•••• | Former SEC adviser | Mar 22, 2004 | Feb 10, 2005 | no | NEW YORK, NY | Previous registration |
| M••••• S•••••• D• I••• | n/a | Jan 9, 2003 | Mar 26, 2004 | no | LAWRENCEVILL, NJ | Previous registration |
| -1,039 |
| Bulk transfer |
| Other |
| B•• M••••• S••••••••• C••••••••• | J••• H•••••• I••••••••• M••••••••• L•• | Apr 5, 2006 | Apr 12, 2006 | 7 | Firm change | Other |
| C•••• I••••••••• S••••••• C•••• | B•• M••••• S••••••••• C••••••••• | Feb 10, 2005 | May 4, 2005 | 83 | Firm change | Other |
| M••••• S•••••• D• I••• | C•••• I••••••••• S••••••• C•••• | Mar 26, 2004 | Mar 22, 2004 | -4 | Firm change | Other |