DFX Intelligence
Data Factory
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 S•••••• W••••• P•••••••• L••
San Diego, 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•••••• W••••• P•••••••• L•• | Bd affiliated wealth | Oct 9, 2025 | n/a | yes | San Diego, CA | Current employment |
| A•••••• W••••• L• | Independent wealth | Feb 15, 2024 | Sep 8, 2025 | no | LAKE OSWEGO, OR|CARLSBAD, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| A•••••• W••••• L• | S•••••• W••••• P•••••••• L•• | Sep 8, 2025 | Oct 9, 2025 | 31 | Firm change | RIA to ibd |
| C•• C•••••• M••••••••• G••••• I••• | A•••••• W••••• L• | Oct 22, 2020 | Feb 15, 2024 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 151135:145323:CA:2019-08-08 | Aug 8, 2019 | Jul 15, 2019 | SAN DIEGO, CA | Firm change |
| 7691:149777:TX:2017-02-14 | Feb 14, 2017 | Feb 28, 2017 | DALLAS, TX | Firm change |
| C•• C•••••• M••••••••• G••••• I••• | Independent wealth | May 14, 2020 | Oct 22, 2020 | no | Solana Beach, CA | Previous registration |
| H•••••••• A•••••••• L•• | Bd affiliated wealth | Jul 15, 2019 | Feb 4, 2020 | no | SAN DIEGO, CA | Previous registration |
| D••••• P•••••• A••••••• | Former SEC adviser | Apr 26, 2018 | Aug 8, 2019 | no | SAN DIEGO, CA | Previous registration |
| T• A••••••••• I••••••••• M••••••••• L•• | Former SEC adviser | Aug 28, 2017 | Apr 19, 2018 | no | San Diego, CA | Previous registration |
| T• A••••••••• I••• | Former SEC adviser | Aug 28, 2017 | Apr 19, 2018 | no | San Diego, CA | Previous registration |
| M••••• S•••••• | Wirehouse | Feb 28, 2017 | Aug 7, 2017 | no | La Jolla, CA | Previous registration |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Wirehouse | Dec 6, 2011 | Feb 14, 2017 | no | DALLAS, TX | Previous registration |
| 1,211 |
| Firm change after gap |
| RIA to RIA |
| H•••••••• A•••••••• L•• | C•• C•••••• M••••••••• G••••• I••• | Feb 4, 2020 | May 14, 2020 | 100 | Firm change | Ibd to RIA |
| D••••• P•••••• A••••••• | H•••••••• A•••••••• L•• | Aug 8, 2019 | Jul 15, 2019 | -24 | Firm change | RIA to ibd |
| T• A••••••••• I••• | T• A••••••••• I••••••••• M••••••••• L•• | Apr 19, 2018 | Aug 28, 2017 | -234 | Channel change | Other |
| T• A••••••••• I••••••••• M••••••••• L•• | T• A••••••••• I••• | Apr 19, 2018 | Aug 28, 2017 | -234 | Firm change after gap | Other |
| M••••• S•••••• | T• A••••••••• I••••••••• M••••••••• L•• | Aug 7, 2017 | Aug 28, 2017 | 21 | Firm change | Other |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | M••••• S•••••• | Feb 14, 2017 | Feb 28, 2017 | 14 | Firm change | Wirehouse to wirehouse |