DFX Intelligence
Reading the graph
Reading the graph
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Advisor at N•••••••• B••••• B• L••
NEW YORK, NY | New Canaan, CT
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 |
|---|---|---|---|---|---|---|
| N•••••••• B••••• B• L•• | No RAUM reported | Sep 10, 2026 | n/a | yes | NEW YORK, NY|New Canaan, CT | Current employment |
| S•••••••• A••••••• L•• | National bd RIA | Mar 31, 2025 | Sep 5, 2026 | no | NEW CANAAN, CT|JERSEY CITY, NJ|BOSTON, MA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| S•••••••• A••••••• L•• | N•••••••• B••••• B• L•• | Sep 5, 2026 | Sep 10, 2026 | 5 | Firm change | Other |
| F••••••• P••••••• A•• W•••••••• A••••••• | S•••••••• A••••••• L•• | Mar 31, 2025 | Mar 31, 2025 |
| F••••••• P••••••• A•• W•••••••• A••••••• | Former SEC adviser | Jul 13, 2018 | Mar 31, 2025 | no | BOSTON, MA|NEW CANAAN, CT|JERSEY CITY, NJ | Previous registration |
| S•••••••• A••••••• L•• | National bd RIA | Aug 21, 2017 | Jul 13, 2018 | no | JERSEY CITY, NJ | Previous registration |
| 0 |
| Bulk transfer |
| Ibd to ibd |
| S•••••••• A••••••• L•• | F••••••• P••••••• A•• W•••••••• A••••••• | Jul 13, 2018 | Jul 13, 2018 | 0 | Bulk transfer | Ibd to new firm |