DFX Intelligence
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Reading the graph
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Advisor at W•••• F•••• A•••••••
CHATHAM, NJ | NEW YORK, 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 |
|---|---|---|---|---|---|---|
| W•••• F•••• A••••••• | Wirehouse | Sep 1, 2026 | n/a | yes | CHATHAM, NJ|NEW YORK, NY | Current employment |
| J••• M••••• S••••••••• L•• | Wirehouse | Dec 9, 2020 | Apr 4, 2025 | no | NEW YORK, NY|Greenwich, CT | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| J••• M••••• S••••••••• L•• | W•••• F•••• A••••••• | Apr 4, 2025 | Sep 1, 2026 | 515 | Firm change after gap | Wirehouse to wirehouse |
| R•••••• J•••• • A••••••••• I••• | J••• M••••• S••••••••• L•• | Dec 14, 2020 | Dec 9, 2020 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 705:79:NY:2020-12-14 | Dec 14, 2020 | Dec 9, 2020 | NEW YORK, NY | Firm change |
| R•••••• J•••• • A••••••••• I••• | National bd RIA | Sep 6, 2016 | Dec 14, 2020 | no | New York, NY | Previous registration |
| D••••••• B••• S••••••••• I••• | No RAUM reported | Oct 23, 2013 | Sep 6, 2016 | no | NEW YORK, NY|NEW YORK, NY | Previous registration |
| M••••• S•••••• | Wirehouse | Jun 1, 2009 | Jul 2, 2009 | no | New York, NY | Previous registration |
| M••••• S•••••• • C•• L•• | n/a | Apr 2, 2007 | Jun 1, 2009 | no | NEW YORK, NY | Previous registration |
| M••••• S•••••• D• I••• | n/a | Oct 28, 2005 | Apr 2, 2007 | no | NEW YORK, NY|NY, NY | Previous registration |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Wirehouse | Jan 7, 2000 | Nov 2, 2005 | no | NEW YORK, NY | Previous registration |
| -5 |
| Firm change |
| Ibd to wirehouse |
| D••••••• B••• S••••••••• I••• | R•••••• J•••• • A••••••••• I••• | Sep 6, 2016 | Sep 6, 2016 | 0 | Bulk transfer | Other |
| M••••• S•••••• | D••••••• B••• S••••••••• I••• | Jul 2, 2009 | Oct 23, 2013 | 1,574 | Firm change after gap | Other |
| M••••• S•••••• • C•• L•• | M••••• S•••••• | Jun 1, 2009 | Jun 1, 2009 | 0 | Bulk transfer | Other |
| M••••• S•••••• D• I••• | M••••• S•••••• • C•• L•• | Apr 2, 2007 | Apr 2, 2007 | 0 | Bulk transfer | Other |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | M••••• S•••••• D• I••• | Nov 2, 2005 | Oct 28, 2005 | -5 | Firm change | Other |