DFX Intelligence
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Reading the graph
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Advisor at M••••••
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 |
|---|---|---|---|---|---|---|
| M•••••• | Bd affiliated wealth | Jun 12, 2021 | n/a | yes | New York, NY | Current employment |
| M•••••• W••••• A••••••• | Former SEC adviser | Dec 19, 2017 | Dec 31, 2018 | no | Manasquan, NJ | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| M•••••• W••••• A••••••• | M•••••• | Dec 31, 2018 | Jun 12, 2021 | 894 | Firm change after gap | RIA to ibd |
| M•••••• W••••• A••••••• | M•••••• W••••• A••••••• | Jul 3, 2018 | Dec 19, 2017 |
| M•••••• W••••• A••••••• |
| Former SEC adviser |
| Dec 19, 2017 |
| Mar 31, 2018 |
| no |
| New York, NY |
| Previous registration |
| M•••••• W••••• A••••••• | Former SEC adviser | Dec 19, 2017 | Jul 3, 2018 | no | Madison, NJ | Previous registration |
| S••••••• P••••••• | Independent wealth | Jan 10, 2013 | Sep 12, 2017 | no | GLASTONBURY, CT | Previous registration |
| N•• Y••• L••• I••••••••• M••••••••• L•• | Asset manager | Jan 3, 2007 | Jul 28, 2008 | no | NEW Y•••, NY | Previous registration |
| T••••••••• A••••••• I•• | Asset manager | Apr 7, 2006 | Jul 18, 2006 | no | CINCINNATI, OH | Previous registration |
| W•••••• • R••• | Former SEC adviser | Oct 29, 2004 | Mar 9, 2006 | no | HARTFORD, CT|HARTFORD, CT | Previous registration |
| -196 |
| Channel change |
| Other |
| M•••••• W••••• A••••••• | M•••••• W••••• A••••••• | Mar 31, 2018 | Dec 19, 2017 | -102 | Channel change | Other |
| S••••••• P••••••• | M•••••• W••••• A••••••• | Sep 12, 2017 | Dec 19, 2017 | 98 | Firm change | Other |
| N•• Y••• L••• I••••••••• M••••••••• L•• | S••••••• P••••••• | Jul 28, 2008 | Jan 10, 2013 | 1,627 | Firm change after gap | Other |
| T••••••••• A••••••• I•• | N•• Y••• L••• I••••••••• M••••••••• L•• | Jul 18, 2006 | Jan 3, 2007 | 169 | Firm change | Other |
| W•••••• • R••• | T••••••••• A••••••• I•• | Mar 9, 2006 | Apr 7, 2006 | 29 | Firm change | Other |