DFX Intelligence
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Reading the graph
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Advisor at U•• F•••••••• S••••••• I•••
••• Locked
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 |
|---|---|---|---|---|---|---|
| U•• F•••••••• S••••••• I••• | Wirehouse | Dec 4, 2015 | n/a | yes | NEW YORK, NY|Westhampton Beach, NY|New York, NY|Greenwich, CT|GREENWICH, CT | Current employment |
| C••••• S••••• S••••••••• •••• L•• | Former SEC adviser | Oct 15, 2012 | Dec 21, 2015 | no | NEW YORK, NY |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| C••••• S••••• S••••••••• •••• L•• | U•• F•••••••• S••••••• I••• | Dec 21, 2015 | Dec 4, 2015 | -17 | Bulk transfer | Other |
| A••••••••• L••• | C••••• S••••• S••••••••• •••• L•• | Oct 19, 2012 | Oct 15, 2012 |
| A••••••••• L••• | Other adviser | May 3, 2006 | Oct 19, 2012 | no | NEW YORK, NY | Previous registration |
| M•••••• L•••• I••••••••• M••••••• L• | n/a | Jul 25, 2005 | May 3, 2006 | no | PLAINSBORO, NJ | Previous registration |
| -4 |
| Firm change |
| Other |
| M•••••• L•••• I••••••••• M••••••• L• | A••••••••• L••• | May 3, 2006 | May 3, 2006 | 0 | Firm change | Other |