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 5• C•••••• M••••••••• L••
WOODCLIFF LAKE, NJ
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 |
|---|---|---|---|---|---|---|
| 5• C•••••• M••••••••• L•• | Independent wealth | Mar 3, 2017 | n/a | yes | WOODCLIFF LAKE, NJ | Current employment |
| C•••• D•••• A•••• M••••••••• L•• | Former SEC adviser | Jul 11, 2011 | Mar 3, 2017 | no | WHITE PLAINS, NY | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| C•••• D•••• A•••• M••••••••• L•• | 5• C•••••• M••••••••• L•• | Mar 3, 2017 | Mar 3, 2017 | 0 | Firm change | Other |
| C•••• D•••• • C••• I••• | C•••• D•••• A•••• M••••••••• L•• | May 2, 2011 | Jul 11, 2011 |
| C•••• D•••• • C••• I••• | n/a | Aug 5, 2010 | May 2, 2011 | no | WHITE PLAINS, NY|WHITE PLAINS, NY | Previous registration |
| G••••••• F••••• | Former SEC adviser | Dec 1, 2003 | Sep 21, 2010 | no | NEW YORK, NY | Previous registration |
| C••• P•••••• W••••• A•••••••• I••• | Bd affiliated wealth | Dec 22, 2000 | Oct 20, 2003 | no | NEW YORK, NY | Previous registration |
| 70 |
| Firm change |
| Other |
| G••••••• F••••• | C•••• D•••• • C••• I••• | Sep 21, 2010 | Aug 5, 2010 | -47 | Firm change after gap | Other |
| C••• P•••••• W••••• A•••••••• I••• | G••••••• F••••• | Oct 20, 2003 | Dec 1, 2003 | 42 | Firm change | Other |