DFX Intelligence
Reading the graph
Reading the graph
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Advisor at L•• F•••••••• L••
NAPLES, 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 |
|---|---|---|---|---|---|---|
| L•• F•••••••• L•• | Bd affiliated wealth | Nov 6, 2019 | n/a | yes | NAPLES, FL | Current employment |
| N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• | Former SEC adviser | Apr 3, 2006 | Dec 5, 2017 | no | MILFORD, CT|SOUTH WINDSOR, CT|WESTPORT, CT|LOS ANGELES, CA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• | L•• F•••••••• L•• | Dec 5, 2017 | Nov 6, 2019 | 701 | Bulk transfer | Other |
| O•••• F•• I••• | N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• | Apr 3, 2006 | Apr 3, 2006 |
| O•••• F•• I••• | Former SEC adviser | Jul 2, 2003 | Apr 3, 2006 | no | WESTPORT, CT | Previous registration |
| P•••••• A••••••• S••••••• I•• | n/a | Mar 24, 1999 | Jan 17, 2003 | no | NORWALK, CT | Previous registration |
| 0 |
| Firm change |
| Other |
| P•••••• A••••••• S••••••• I•• | O•••• F•• I••• | Jan 17, 2003 | Jul 2, 2003 | 166 | Firm change | Other |