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 S••••• F••••••••• L••
PARSIPPANY, 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 |
|---|---|---|---|---|---|---|
| S••••• F••••••••• L•• | Bd affiliated wealth | May 23, 2024 | n/a | yes | PARSIPPANY, NJ | Current employment |
| P•••• S••••••••• L•• | No RAUM reported | Jul 7, 2021 | Jun 17, 2024 | no | NEWARK, NJ | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| P•••• S••••••••• L•• | S••••• F••••••••• L•• | Jun 17, 2024 | May 23, 2024 | -25 | Firm change | Ibd to ibd |
| P••••••••• S••••• S••••••••• L•• | P•••• S••••••••• L•• | Jul 6, 2021 | Jul 7, 2021 |
| P••••••••• S••••• S••••••••• L•• |
| Institutional manager |
| Oct 16, 2018 |
| Jul 6, 2021 |
| no |
| Newark, NJ |
| Previous registration |
| E•••••• C•••••• M••••••••• L•• | Former SEC adviser | Jun 18, 2009 | Apr 24, 2017 | no | ARLINGTON, VA | Previous registration |
| 1 |
| Channel change |
| RIA to ibd |
| E•••••• C•••••• M••••••••• L•• | P••••••••• S••••• S••••••••• L•• | Apr 24, 2017 | Oct 16, 2018 | 540 | Firm change after gap | Other |