DFX Intelligence
Reading the graph
Reading the graph
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Advisor at C••••••••• C••••••••• I•••••••••
NEWPORT BEACH, 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 |
|---|---|---|---|---|---|---|
| C••••••••• C••••••••• I••••••••• | Independent wealth | Dec 19, 2025 | n/a | yes | NEWPORT BEACH, CA | Current employment |
| T••••••• I••••••••• M••••••••• I••• | Bd affiliated wealth | Apr 8, 2025 | Dec 22, 2025 | no | MINNEAPOLIS, MN |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| T••••••• I••••••••• M••••••••• I••• | C••••••••• C••••••••• I••••••••• | Dec 22, 2025 | Dec 19, 2025 | -3 | Firm change | Ibd to RIA |
| R•••••• S••••• A•••••••• L•• | T••••••• I••••••••• M••••••••• I••• | Oct 8, 2015 | Apr 8, 2025 |
| R•••••• S••••• A•••••••• L•• | Former SEC adviser | Mar 10, 2014 | Oct 8, 2015 | no | SAN DIEGO, CA | Previous registration |
| P•••••• A•••• M••••••••• I•• | Former SEC adviser | Jan 18, 2012 | Jul 16, 2013 | no | SAN DIEGO, CA | Previous registration |
| A•••••• G••••• I•••••••• U••• L•• | Former SEC adviser | Jul 21, 2010 | Dec 9, 2011 | no | NEW YORK, NY | Previous registration |
| N••••••••• C•••••• M••••••••• L•• | n/a | Apr 10, 2000 | Jan 3, 2011 | no | SAN DIEGO, CA|SAN DIEGO, CA | Previous registration |
| 3,470 |
| Firm change after gap |
| Other |
| P•••••• A•••• M••••••••• I•• | R•••••• S••••• A•••••••• L•• | Jul 16, 2013 | Mar 10, 2014 | 237 | Firm change | Other |
| A•••••• G••••• I•••••••• U••• L•• | P•••••• A•••• M••••••••• I•• | Dec 9, 2011 | Jan 18, 2012 | 40 | Firm change | Other |
| N••••••••• C•••••• M••••••••• L•• | A•••••• G••••• I•••••••• U••• L•• | Jan 3, 2011 | Jul 21, 2010 | -166 | Firm change after gap | Other |