DFX Intelligence
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Reading the graph
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Advisor at S•••••••• A••••••• L••
STAMFORD, CT | PEEKSKILL, 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 |
|---|---|---|---|---|---|---|
| S•••••••• A••••••• L•• | National bd RIA | Mar 31, 2025 | n/a | yes | STAMFORD, CT|PEEKSKILL, NY | Current employment |
| F••••••• P••••••• A•• W•••••••• A••••••• | Former SEC adviser | Jul 27, 2020 | Mar 31, 2025 | no | STAMFORD, CT |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| F••••••• P••••••• A•• W•••••••• A••••••• | S•••••••• A••••••• L•• | Mar 31, 2025 | Mar 31, 2025 | 0 | Bulk transfer | Ibd to ibd |
| E••••• J•••• | F••••••• P••••••• A•• W•••••••• A••••••• | Jan 9, 2020 | Jul 27, 2020 |
| E••••• J•••• | National bd RIA | Jul 30, 2019 | Jan 9, 2020 | no | ST LOUIS, MO|Cortlandt Manor, NY|Armonk, NY | Previous registration |
| A••••• A•••••••• L•• | Independent wealth | May 31, 2018 | May 30, 2019 | no | NORTH WHITE PLAINS, NY | Previous registration |
| 200 |
| Firm change |
| Ibd to ibd |
| A••••• A•••••••• L•• | E••••• J•••• | May 30, 2019 | Jul 30, 2019 | 61 | Firm change | RIA to ibd |