DFX Intelligence
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Reading the graph
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Advisor at N•••••• • C••••••• L••
NEW YORK, NY | Little Silver, 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 |
|---|---|---|---|---|---|---|
| N•••••• • C••••••• L•• | No RAUM reported | Oct 13, 2022 | n/a | yes | NEW YORK, NY|Little Silver, NJ | Current employment |
| P••• A••••• S••••••••• L•• | Bd affiliated wealth | Jun 24, 2022 | Oct 19, 2022 | no | NEW YORK, NY |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| P••• A••••• S••••••••• L•• | N•••••• • C••••••• L•• | Oct 19, 2022 | Oct 13, 2022 | -6 | Firm change | Other |
| M••••• S•••••• | P••• A••••• S••••••••• L•• | Jun 13, 2022 | Jun 24, 2022 |
| M••••• S•••••• | Wirehouse | Aug 19, 2019 | Jun 13, 2022 | no | New York, NY | Previous registration |
| F•••••••• A••••••• S•••••••• L•• | Former SEC adviser | Oct 11, 2017 | Jun 28, 2019 | no | Edison, NJ|Edison, NJ|New York, NY | Previous registration |
| Firm change |
| Wirehouse to ibd |
| F•••••••• A••••••• S•••••••• L•• | M••••• S•••••• | Jun 28, 2019 | Aug 19, 2019 | 52 | Firm change | Ibd to wirehouse |