DFX Intelligence
Reading the graph
Reading the graph
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Advisor at A••••• W••••• I••••••••• ••••
Santa Ana, 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 |
|---|---|---|---|---|---|---|
| A••••• W••••• I••••••••• •••• | State registered | Jan 1, 2025 | n/a | yes | Santa Ana, CA | Current employment |
| C•••• B••••• W•••••• L•• | Independent wealth | Jan 21, 2020 | Oct 19, 2021 | no | NEW YORK, NY|Alabang, Muntinlupa |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| C•••• B••••• W•••••• L•• | A••••• W••••• I••••••••• •••• | Oct 19, 2021 | Jan 1, 2025 | 1,170 | Firm change after gap | RIA to state RIA |
| V••• F•••••••• A•••••••• I••• | C•••• B••••• W•••••• L•• | Dec 31, 2014 | Jan 21, 2020 |
| V••• F•••••••• A•••••••• I••• | Bd affiliated wealth | Apr 24, 2009 | Dec 31, 2014 | no | LAGUNA NIGUEL, CA|SAN DIEGO, CA|IRVINE, CA|ESCONDIDO, CA | Previous registration |
| F•• S••••••••• C••••••••• | Former SEC adviser | Apr 21, 2005 | Apr 3, 2009 | no | IRVINE, CA|IRVINE, CA|DANA POINT, CA | Previous registration |
| 1,847 |
| Firm change after gap |
| Other |
| F•• S••••••••• C••••••••• | V••• F•••••••• A•••••••• I••• | Apr 3, 2009 | Apr 24, 2009 | 21 | Firm change | Other |