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 C••••••••• I••••••••• L••
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••••••••• I••••••••• L•• | Mixed wealth | May 12, 2009 | n/a | yes | NEW YORK, NY | Current employment |
| A•• I••••••••• S•••••••• I••• | Asset manager | Jun 19, 2006 | Jun 7, 2007 | no | SHELTON, CT | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| A•• I••••••••• S•••••••• I••• | C••••••••• I••••••••• L•• | Jun 7, 2007 | May 12, 2009 | 705 | Firm change after gap | Other |
| C••••••• • C••• I••• | A•• I••••••••• S•••••••• I••• | Dec 31, 2004 | Jun 19, 2006 |
| C••••••• • C••• I••• |
| Former SEC adviser |
| Nov 6, 2003 |
| Dec 31, 2004 |
| no |
| HICKSVILLE, NY |
| Previous registration |
| 535 |
| Firm change after gap |
| Other |