DFX Intelligence
Reading the graph
Reading the graph
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Advisor at D•••• W••••• M••••••••• L••
FERNANDINA BEACH, FL | Greenwich, CT
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 |
|---|---|---|---|---|---|---|
| D•••• W••••• M••••••••• L•• | State registered | Dec 18, 2015 | n/a | yes | FERNANDINA BEACH, FL|Greenwich, CT | Current employment |
| R•• C•••••• M••••••••• L•• | Independent wealth | Jul 26, 2012 | Nov 2, 2015 | no | CORONA DEL MAR, CA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| R•• C•••••• M••••••••• L•• | D•••• W••••• M••••••••• L•• | Nov 2, 2015 | Dec 18, 2015 | 46 | Firm change | Other |
| G•••••••• I••••••••• M••••••••• I••• | R•• C•••••• M••••••••• L•• | Jan 8, 2013 | Jul 26, 2012 |
| G•••••••• I••••••••• M••••••••• I••• | Former SEC adviser | Jan 28, 2005 | Jan 8, 2013 | no | n/a | Previous registration |
| G•••••••• I••••••••• M••••••••• I••• | Former SEC adviser | Apr 27, 2000 | Dec 31, 2004 | no | G••••••••, CT | Previous registration |
| -166 |
| Firm change after gap |
| Other |