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Reading the graph
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Advisor at T•••••• P•••• A•••••••• L••
Stamford, 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 |
|---|---|---|---|---|---|---|
| T•••••• P•••• A•••••••• L•• | Independent wealth | Jun 25, 2019 | n/a | yes | Stamford, CT | Current employment |
| K••••• A••••••• S•••••••• L•• | Bd affiliated wealth | Jun 27, 2016 | May 17, 2018 | no | Austin, TX | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| K••••• A••••••• S•••••••• L•• | T•••••• P•••• A•••••••• L•• | May 17, 2018 | Jun 25, 2019 | 404 | Firm change after gap | Ibd to RIA |
| N•• A•••••• S•••••••• L•• | K••••• A••••••• S•••••••• L•• | Sep 22, 2016 | Jun 27, 2016 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 283330:292182:TX:2018-05-17 | May 17, 2018 | Jun 25, 2019 | AUSTIN, TX | Firm change after gap |
| N•• A•••••• S•••••••• L•• | Former SEC adviser | Jun 27, 2016 | Sep 22, 2016 | no | Stamford, CT|AUSTIN, TX | Previous registration |
| A••••• W••••• M••••••••• L•• | Former SEC adviser | Aug 6, 2012 | May 20, 2015 | no | PURCHASE, NY | Previous registration |
| -87 |
| Bulk transfer |
| Other |
| A••••• W••••• M••••••••• L•• | N•• A•••••• S•••••••• L•• | May 20, 2015 | Jun 27, 2016 | 404 | Firm change after gap | Other |