DFX Intelligence
Reading the graph
Reading the graph
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Advisor at A••••••••• L••
LOS ANGELES, 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••••••••• L•• | Independent wealth | Feb 28, 2019 | n/a | yes | LOS ANGELES, CA|LOS ANGELES, CA | Current employment |
| G•••••••• G••••• A••••••• L•• | Former SEC adviser | Aug 16, 2013 | Jan 4, 2018 | no | LEHI, UT | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| G•••••••• G••••• A••••••• L•• | A••••••••• L•• | Jan 4, 2018 | Feb 28, 2019 | 420 | Firm change after gap | Other |
| P••••••• G••••• A•••••••• I••• | G•••••••• G••••• A••••••• L•• | Mar 25, 2013 | Aug 16, 2013 |
| P••••••• G••••• A•••••••• I••• | Former SEC adviser | Jan 31, 2013 | Mar 25, 2013 | no | IRVINE, CA | Previous registration |
| L•• F•••••••• I••• | Former SEC adviser | Sep 29, 2004 | Feb 1, 2008 | no | SAN JOSE, CA | Previous registration |
| L••••• W••• C•••••• M••••••••• I••• | n/a | Oct 1, 2001 | Sep 30, 2004 | no | LOS ANGELES, CA | Previous registration |
| 144 |
| Firm change |
| Other |
| L•• F•••••••• I••• | P••••••• G••••• A•••••••• I••• | Feb 1, 2008 | Jan 31, 2013 | 1,826 | Firm change after gap | Other |
| L••••• W••• C•••••• M••••••••• I••• | L•• F•••••••• I••• | Sep 30, 2004 | Sep 29, 2004 | -1 | Firm change | Other |