DFX Intelligence
Reading the graph
Reading the graph
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Advisor at T•••••• P•••• A•••••••• L••
WILTON, 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 | May 16, 2018 | n/a | yes | WILTON, CT | Current employment |
| K••••• A••••••• S•••••••• L•• | Bd affiliated wealth | Apr 20, 2016 | May 30, 2018 | no | WESTPORT, CT | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| K••••• A••••••• S•••••••• L•• | T•••••• P•••• A•••••••• L•• | May 30, 2018 | May 16, 2018 | -14 | Firm change | Ibd to new firm |
| N•• A•••••• S•••••••• L•• | K••••• A••••••• S•••••••• L•• | Sep 22, 2016 | Apr 20, 2016 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 283330:292182:CT:2018-05-23 | May 30, 2018 | May 16, 2018 | WESTPORT, CT | Firm change |
| N•• A•••••• S•••••••• L•• | Former SEC adviser | Sep 22, 2003 | Sep 22, 2016 | no | WESTPORT, CT|WESTPORT, CT | Previous registration |
| A••••••••• F•••••••• S•••••••• L•• | National bd RIA | May 15, 1995 | Sep 8, 2003 | no | WOODBRIDGE, CT | Previous registration |
| -155 |
| Bulk transfer |
| Other |
| A••••••••• F•••••••• S•••••••• L•• | N•• A•••••• S•••••••• L•• | Sep 8, 2003 | Sep 22, 2003 | 14 | Firm change | Other |