DFX Intelligence
Reading the graph
Reading the graph
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Advisor at H••••• F•••••••• G••••• I•••
ATASCADERO, 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 |
|---|---|---|---|---|---|---|
| H••••• F•••••••• G••••• I••• | Independent wealth | Dec 6, 2024 | n/a | yes | ATASCADERO, CA | Current employment |
| F•••••••• F•••• L•• | Independent wealth | Jan 14, 2016 | Feb 4, 2025 | no | CARLSBAD, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| F•••••••• F•••• L•• | H••••• F•••••••• G••••• I••• | Feb 4, 2025 | Dec 6, 2024 | -60 | Firm change after gap | RIA to new firm |
| N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• | F•••••••• F•••• L•• | Oct 26, 2017 | Jan 14, 2016 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 29604:282177:CA:2017-10-26 | Oct 26, 2017 | Jan 14, 2016 | CARLSBAD, CA | Firm change after gap |
| N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• | Former SEC adviser | Jul 8, 2014 | Oct 26, 2017 | no | CARLSBAD, CA | Previous registration |
| H••••• F•••••••• G••••• I••• | n/a | Jan 28, 2013 | Jul 30, 2016 | no | CARLSBAD, CA|CARLSBAD, CA|CARLSBAD, CA | Previous registration |
| L••••• F•••••••• G••••• I••• | Former SEC adviser | Dec 3, 2009 | Jan 28, 2013 | no | L••••• BEACH, CA | Previous registration |
| L•• F•••••••• L•• | Bd affiliated wealth | Jan 30, 2009 | Mar 18, 2010 | no | SAN LUIS OBISPO, CA|SAN LUIS OBISPO, CA | Previous registration |
| A••••••••• F•••••••• S•••••••• L•• | National bd RIA | Feb 21, 2005 | May 23, 2005 | no | SAN LUIS OBISPO, CA | Previous registration |
| -651 |
| Firm change after gap |
| Other |
| H••••• F•••••••• G••••• I••• | N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• | Jul 30, 2016 | Jul 8, 2014 | -753 | Firm change after gap | Other |
| L••••• F•••••••• G••••• I••• | H••••• F•••••••• G••••• I••• | Jan 28, 2013 | Jan 28, 2013 | 0 | Firm change | Other |
| L•• F•••••••• L•• | L••••• F•••••••• G••••• I••• | Mar 18, 2010 | Dec 3, 2009 | -105 | Firm change after gap | Other |
| A••••••••• F•••••••• S•••••••• L•• | L•• F•••••••• L•• | May 23, 2005 | Jan 30, 2009 | 1,348 | Firm change after gap | Other |