DFX Intelligence
Reading the graph
Reading the graph
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Advisor at C••••••••• I••••••••• L••
NEW YORK, NY | Lake Wylie, SC
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 |
|---|---|---|---|---|---|---|
| C••••••••• I••••••••• L•• | Mixed wealth | Jan 1, 2025 | n/a | yes | Lake Wylie, SC|NEW YORK, NY | Current employment |
| B••• A•••••••• L•• | Former SEC adviser | Mar 9, 2005 | Mar 10, 2008 | no | NEW YORK, NY|CHARLOTTE, NC | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| B••• A•••••••• L•• | C••••••••• I••••••••• L•• | Mar 10, 2008 | Jan 1, 2025 | 6,141 | Firm change after gap | Other |
| C••••••• M••••••••• A•••••••• I••• | B••• A•••••••• L•• | Mar 9, 2005 | Mar 9, 2005 |
| C••••••• M••••••••• A•••••••• I••• | n/a | Nov 8, 2004 | Mar 9, 2005 | no | BOSTON, MA | Previous registration |
| O•• P•••••• I••••••••• I•• | Former SEC adviser | May 19, 2004 | Nov 12, 2004 | no | NEW YORK, NY | Previous registration |
| L••• M•••• W••• W•••••• I••••••••• | n/a | May 30, 2001 | Jun 11, 2002 | no | BALTIMORE, MD | Previous registration |
| 0 |
| Firm change |
| Other |
| O•• P•••••• I••••••••• I•• | C••••••• M••••••••• A•••••••• I••• | Nov 12, 2004 | Nov 8, 2004 | -4 | Firm change | Other |
| L••• M•••• W••• W•••••• I••••••••• | O•• P•••••• I••••••••• I•• | Jun 11, 2002 | May 19, 2004 | 708 | Firm change after gap | Other |