DFX Intelligence
Reading the graph
Reading the graph
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Advisor at L•• F•••••••• L••
SARATOGA SPRINGS, 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 |
|---|---|---|---|---|---|---|
| L•• F•••••••• L•• | Bd affiliated wealth | Mar 16, 2026 | n/a | yes | SARATOGA SPRINGS, NY | Current employment |
| N••••• I••••••••• M••••••••• B••••••• T•••• | Asset manager | Apr 20, 2020 | Mar 17, 2026 | no | PHILADELPHIA, PA|PHILADELPHIA, PA|SARATOGA SPRINGS, NY |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| N••••• I••••••••• M••••••••• B••••••• T•••• | L•• F•••••••• L•• | Mar 17, 2026 | Mar 16, 2026 | -1 | Firm change | Other |
| D••••••• C•••••• M••••••••• A•••••••• I•• | N••••• I••••••••• M••••••••• B••••••• T•••• | Apr 20, 2020 | Apr 20, 2020 |
| D••••••• C•••••• M••••••••• A•••••••• I•• | Former SEC adviser | Feb 1, 2012 | Apr 20, 2020 | no | PHILADELPHIA, PA | Previous registration |
| C••••••••• I••••••••• L•• | Mixed wealth | Dec 7, 2005 | Aug 8, 2011 | no | NEW YORK, NY | Previous registration |
| C•••••••• G••••• M•••••• I••• | Bd affiliated wealth | Oct 19, 2005 | Dec 19, 2005 | no | CHICAGO, IL | Previous registration |
| 0 |
| Bulk transfer |
| Other |
| C••••••••• I••••••••• L•• | D••••••• C•••••• M••••••••• A•••••••• I•• | Aug 8, 2011 | Feb 1, 2012 | 177 | Firm change | Other |
| C•••••••• G••••• M•••••• I••• | C••••••••• I••••••••• L•• | Dec 19, 2005 | Dec 7, 2005 | -12 | Bulk transfer | Other |