DFX Intelligence
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Reading the graph
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Advisor at M••••••
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 |
|---|---|---|---|---|---|---|
| M•••••• | Bd affiliated wealth | Dec 6, 2024 | n/a | yes | Newport Beach, CA | Current employment |
| C•••••••• I••••••••• R••••••• A•••••••• I••• | Bd affiliated wealth | Jan 2, 2020 | Dec 9, 2024 | no | Newport Beach, CA|Ladera Ranch, CA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| C•••••••• I••••••••• R••••••• A•••••••• I••• | M•••••• | Dec 9, 2024 | Dec 6, 2024 | -3 | Firm change | Ibd to ibd |
| C•••••• S•••••• P••••••• | C•••••••• I••••••••• R••••••• A•••••••• I••• | Dec 31, 2019 | Jan 2, 2020 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 134139:140195:CA:2024-12-09 | Dec 9, 2024 | Dec 6, 2024 | LADERA RANCH, CA | Firm change |
| C•••••• S•••••• P••••••• | Former SEC adviser | May 23, 2011 | Dec 31, 2019 | no | IRVINE, CA|IRVINE, CA|IRVINE, CA | Previous registration |
| F•••••••• W••• G•••• | Former SEC adviser | Sep 28, 2000 | Nov 4, 2011 | no | IRVINE, CA|IRVINE, CA | Previous registration |
| 2 |
| Firm change |
| RIA to ibd |
| F•••••••• W••• G•••• | C•••••• S•••••• P••••••• | Nov 4, 2011 | May 23, 2011 | -165 | Firm change after gap | Other |