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 S••••••••• A••••••• L••
KEY WEST, 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 |
|---|---|---|---|---|---|---|
| S••••••••• A••••••• L•• | State registered | May 14, 2026 | n/a | yes | KEY WEST, FL | Current employment |
| H••••••• F•••• | Asset manager | Jan 23, 2015 | Apr 8, 2026 | no | WAYNE, PA|Sellersville, PA|WAYNE, PA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| H••••••• F•••• | S••••••••• A••••••• L•• | Apr 8, 2026 | May 14, 2026 | 36 | Firm change | Other |
| A•••••••• F•••• M••••••••• L•• | H••••••• F•••• | Jun 28, 2013 | Apr 1, 2014 |
| H••••••• F•••• | Asset manager | Apr 1, 2014 | Dec 31, 2014 | no | WAYNE, PA | Previous registration |
| A•••••••• F•••• M••••••••• L•• | Asset manager | Aug 13, 2012 | Jun 28, 2013 | no | MENOMONEE FALLS, WI | Previous registration |
| W•••• F•••• A••••••• | Wirehouse | Dec 22, 2011 | Aug 13, 2012 | no | COLUMBIA, MD|POTOMAC, MD | Previous registration |
| C•••• I••••••••• S••••••• C•••• | Former SEC adviser | Jun 28, 2010 | Oct 3, 2011 | no | NEW YORK, NY|NEW YORK, NY|SYRACUSE, NY|NEW YORK, NY | Previous registration |
| Firm change |
| Other |
| W•••• F•••• A••••••• | A•••••••• F•••• M••••••••• L•• | Aug 13, 2012 | Aug 13, 2012 | 0 | Firm change | Other |
| C•••• I••••••••• S••••••• C•••• | W•••• F•••• A••••••• | Oct 3, 2011 | Dec 22, 2011 | 80 | Firm change | Other |