DFX Intelligence
Reading the graph
Reading the graph
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Advisor at W••••••••• I••••••••• M••••••••• L••
OMAHA, NE | Old 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 |
|---|---|---|---|---|---|---|
| W••••••••• I••••••••• M••••••••• L•• | Independent wealth | Oct 15, 2024 | n/a | yes | Old Greenwich, CT|OMAHA, NE | Current employment |
| W••••••••• | Former SEC adviser | Jun 10, 2019 | Jun 7, 2024 | no | GREENWICH, CT|OLD GREENWICH, CT |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| W••••••••• | W••••••••• I••••••••• M••••••••• L•• | Jun 7, 2024 | Oct 15, 2024 | 130 | Firm change | RIA to RIA |
| C••••••••• M••••••••• L•• | W••••••••• | Dec 31, 2018 | Jun 10, 2019 |
| C••••••••• M••••••••• L•• | Former SEC adviser | Jan 13, 2017 | Dec 31, 2018 | no | WESTPORT, CT | Previous registration |
| C••••••••• M••••••••• L•• | Former SEC adviser | Sep 5, 2014 | Dec 31, 2016 | no | WESTPORT, CT | Previous registration |
| U••• F•••••••• A••••••• | Former SEC adviser | Jan 12, 2012 | Aug 19, 2014 | no | WILMINGTON, DE | Previous registration |
| U••• F•••••••• A••••••• | Former SEC adviser | May 3, 2001 | Oct 26, 2007 | no | BRAINTREE, MA | Previous registration |
| Firm change |
| Other |
| U••• F•••••••• A••••••• | C••••••••• M••••••••• L•• | Aug 19, 2014 | Sep 5, 2014 | 17 | Firm change | Other |