DFX Intelligence
Reading the graph
Reading the graph
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Advisor at L•• F•••••••• L••
••• Locked
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•• F•••••••• L•• | Bd affiliated wealth | Oct 1, 2024 | n/a | yes | SAN DIEGO, CA|WEST HARRISON, NY|West Harrison, NY | Current employment |
| K••••• A••••••• S•••••••• L•• | Bd affiliated wealth | Feb 10, 2020 | Oct 3, 2024 | no | AUSTIN, TX|Stamford, CT|W. Harrison, NY |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| K••••• A••••••• S•••••••• L•• | L•• F•••••••• L•• | Oct 3, 2024 | Oct 1, 2024 | -2 | Firm change | Ibd to ibd |
| P•••••• W••••• A•••••••• L•• | K••••• A••••••• S•••••••• L•• | Mar 18, 2020 | Feb 10, 2020 |
| P•••••• W••••• A•••••••• L•• | Independent wealth | Jun 27, 2013 | Mar 18, 2020 | no | STAMFORD, CT|NEW YORK, NY | Previous registration |
| F•••• A••••• A••••••• S•••••••• I••• | Former SEC adviser | Jul 2, 2012 | Jun 7, 2013 | no | STAMFORD, CT | Previous registration |
| F•••• A••••• S••••••••• I••• | Former SEC adviser | Apr 27, 2011 | Jul 2, 2012 | no | NEW YORK, NY|STAMFORD, CT|WEST HARRISON, NY | Previous registration |
| -37 |
| Firm change after gap |
| RIA to ibd |
| F•••• A••••• A••••••• S•••••••• I••• | P•••••• W••••• A•••••••• L•• | Jun 7, 2013 | Jun 27, 2013 | 20 | Firm change | Other |
| F•••• A••••• S••••••••• I••• | F•••• A••••• A••••••• S•••••••• I••• | Jul 2, 2012 | Jul 2, 2012 | 0 | Bulk transfer | Other |