DFX Intelligence
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Reading the graph
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Advisor at S•••••••• A••••••• L••
SANTA MONICA, CA | WOODLAND HILLS, CA
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•••••••• A••••••• L•• | National bd RIA | Mar 31, 2025 | n/a | yes | SANTA MONICA, CA|WOODLAND HILLS, CA | Current employment |
| F••••••• P••••••• A•• W•••••••• A••••••• | Former SEC adviser | Jul 13, 2018 | Mar 31, 2025 | no | BOSTON, MA|WOODLAND HILLS, CA|PASADENA, CA|PASADENA, CA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| F••••••• P••••••• A•• W•••••••• A••••••• | S•••••••• A••••••• L•• | Mar 31, 2025 | Mar 31, 2025 | 0 | Bulk transfer | Ibd to ibd |
| S•••••••• A••••••• L•• | F••••••• P••••••• A•• W•••••••• A••••••• | Jul 13, 2018 | Jul 13, 2018 |
| S•••••••• A••••••• L•• | National bd RIA | Mar 13, 2018 | Jul 13, 2018 | no | WOODLAND HILLS, CA | Previous registration |
| L•• F•••••••• L•• | Bd affiliated wealth | Sep 1, 2015 | Jul 20, 2016 | no | WESTLAKE VILLAGE, CA | Previous registration |
| 0 |
| Bulk transfer |
| Ibd to new firm |
| L•• F•••••••• L•• | S•••••••• A••••••• L•• | Jul 20, 2016 | Mar 13, 2018 | 601 | Firm change after gap | Other |