DFX Intelligence
Reading the graph
Reading the graph
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Advisor at R•• W••••• B•••••••• I•••
MONTCLAIR, NJ | MAMARONECK, 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 |
|---|---|---|---|---|---|---|
| R•• W••••• B•••••••• I••• | Independent wealth | Jun 1, 2020 | n/a | yes | MONTCLAIR, NJ|MAMARONECK, NY | Current employment |
| C••••• • A••••••••• I••• | Independent wealth | Oct 16, 2014 | Mar 31, 2022 | no | Montclair, NJ|TEANECK, NJ|TAMPA, FL|TAMPA, FL|Scarsdale, NY |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| C••••• • A••••••••• I••• | R•• W••••• B•••••••• I••• | Mar 31, 2022 | Jun 1, 2020 | -668 | Firm change after gap | Ibd to RIA |
| A••••••• P••••••••• A•••••••• I•• | C••••• • A••••••••• I••• | Apr 1, 2015 | Oct 16, 2014 |
| A••••••• P••••••••• A•••••••• I•• | Former SEC adviser | Jun 19, 2008 | Apr 1, 2015 | no | HOLBROOK, NY | Previous registration |
| N•• A•••••••• I••• | n/a | Mar 4, 2008 | Nov 12, 2008 | no | WHITE PLAINS, NY | Previous registration |
| N•• F••••••••• I••• | n/a | May 18, 2007 | Oct 15, 2008 | no | BRYAN, OH|WHITE PLAINS, NY | Previous registration |
| B•• S••••••••• I••• | Independent wealth | Aug 6, 2004 | May 21, 2007 | no | WHITE PLAINS, NY|CHERRY HILL, NJ|WHITE PLAINS, NY | Previous registration |
| W••••• S••••• S••••••••• I••• | Former SEC adviser | Aug 1, 2003 | Aug 5, 2004 | no | ST. LOUIS, MO | Previous registration |
| N••••• • L•••• S••••••••• I••• | n/a | Jan 10, 2001 | Aug 1, 2003 | no | KATANAH, NY | Previous registration |
| -167 |
| Firm change after gap |
| Other |
| N•• A•••••••• I••• | A••••••• P••••••••• A•••••••• I•• | Nov 12, 2008 | Jun 19, 2008 | -146 | Firm change after gap | Other |
| N•• F••••••••• I••• | N•• A•••••••• I••• | Oct 15, 2008 | Mar 4, 2008 | -225 | Bulk transfer | Other |
| B•• S••••••••• I••• | N•• F••••••••• I••• | May 21, 2007 | May 18, 2007 | -3 | Firm change | Other |
| W••••• S••••• S••••••••• I••• | B•• S••••••••• I••• | Aug 5, 2004 | Aug 6, 2004 | 1 | Firm change | Other |
| N••••• • L•••• S••••••••• I••• | W••••• S••••• S••••••••• I••• | Aug 1, 2003 | Aug 1, 2003 | 0 | Bulk transfer | Other |