DFX Intelligence
Reading the graph
Reading the graph
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Advisor at C••••• P••••••• L••
New York, NY | NEW YORK, 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 |
|---|---|---|---|---|---|---|
| C••••• P••••••• L•• | Independent wealth | Nov 9, 2023 | n/a | yes | New York, NY|NEW YORK, NY | Current employment |
| G•••••• S•••• W••••• S•••••••• L••• | Bd affiliated wealth | Nov 2, 2023 | Nov 16, 2023 | no | New York, NY |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| G•••••• S•••• W••••• S•••••••• L••• | C••••• P••••••• L•• | Nov 16, 2023 | Nov 9, 2023 | -7 | Firm change | Ibd to RIA |
| U••••• C•••••• F•••••••• A••••••• | G•••••• S•••• W••••• S•••••••• L••• | Nov 2, 2023 | Nov 2, 2023 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 134600:106693:NY:2023-10-24 | Nov 2, 2023 | Nov 2, 2023 | NEW YORK, NY | Firm change |
| U••••• C•••••• F•••••••• A••••••• | Independent wealth | Jul 13, 2021 | Nov 2, 2023 | no | NEW YORK, NY | Previous registration |
| E•••• V•••• W••••••• A••••••• | Former SEC adviser | Jul 9, 2018 | Jul 1, 2021 | no | BOSTON, MA | Previous registration |
| E•••••• F•••••••• S•••••••• L•• | Former SEC adviser | Aug 16, 2016 | Jun 6, 2018 | no | BOCA RATON, FL|FAIRFAX, VA|SHORT HILLS, NJ | Previous registration |
| C•••••• S••••• • C••• I••• | National bd RIA | Nov 14, 2005 | Aug 12, 2016 | no | New York City, NY|Chicago, IL|Fort Lauderdale, FL|Coral Gables, FL|Boca Raton, FL | Previous registration |
| B••• O• A•••••• I••••••••• S•••••••• I••• | n/a | May 17, 2005 | Nov 16, 2005 | no | FT. LAUDERDALE, FL | Previous registration |
| A• G• E•••••• • S•••• I••• | n/a | Jul 22, 2003 | May 26, 2005 | no | FORT LAUDERDALE, FL | Previous registration |
| 0 |
| Firm change |
| Ibd to ibd |
| E•••• V•••• W••••••• A••••••• | U••••• C•••••• F•••••••• A••••••• | Jul 1, 2021 | Jul 13, 2021 | 12 | Firm change | RIA to ibd |
| E•••••• F•••••••• S•••••••• L•• | E•••• V•••• W••••••• A••••••• | Jun 6, 2018 | Jul 9, 2018 | 33 | Firm change | Ibd to RIA |
| C•••••• S••••• • C••• I••• | E•••••• F•••••••• S•••••••• L•• | Aug 12, 2016 | Aug 16, 2016 | 4 | Firm change | Other |
| B••• O• A•••••• I••••••••• S•••••••• I••• | C•••••• S••••• • C••• I••• | Nov 16, 2005 | Nov 14, 2005 | -2 | Firm change | Other |
| A• G• E•••••• • S•••• I••• | B••• O• A•••••• I••••••••• S•••••••• I••• | May 26, 2005 | May 17, 2005 | -9 | Firm change | Other |