DFX Intelligence
Reading the graph
Reading the graph
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Advisor at O••••••• W••••• M••••••••• I•••
MONROVIA, 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 |
|---|---|---|---|---|---|---|
| O••••••• W••••• M••••••••• I••• | Independent wealth | Jun 26, 2012 | n/a | yes | MONROVIA, CA | Current employment |
| S••••••••• A•••••• A•••••••• I••• | Former SEC adviser | Jun 12, 2009 | Nov 27, 2009 | no | SAN GABRIEL, CA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| S••••••••• A•••••• A•••••••• I••• | O••••••• W••••• M••••••••• I••• | Nov 27, 2009 | Jun 26, 2012 | 942 | Firm change after gap | Other |
| V•••• F•••••••• A•••••••• I••• | S••••••••• A•••••• A•••••••• I••• | Jun 4, 2009 | Jun 12, 2009 |
| V•••• F•••••••• A•••••••• I••• | Bd affiliated wealth | May 12, 2009 | Jun 4, 2009 | no | WOODLAND HILLS, CA | Previous registration |
| S••••••••• A•••••• A•••••••• I••• | Former SEC adviser | Jan 23, 2009 | May 13, 2009 | no | LAVISTA, NE | Previous registration |
| B••••• • Y•••• A•••••••• I••• | Former SEC adviser | Jun 26, 2007 | Jan 23, 2009 | no | PASADENA, CA|FOLSOM, CA|PASADENA, CA | Previous registration |
| 8 |
| Firm change |
| Other |
| S••••••••• A•••••• A•••••••• I••• | V•••• F•••••••• A•••••••• I••• | May 13, 2009 | May 12, 2009 | -1 | Firm change | Other |
| B••••• • Y•••• A•••••••• I••• | S••••••••• A•••••• A•••••••• I••• | Jan 23, 2009 | Jan 23, 2009 | 0 | Bulk transfer | Other |