DFX Intelligence
Reading the graph
Reading the graph
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Advisor at O•••• W•••••• I•••
LAGUNA HILLS, 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•••••• I••• | Bd affiliated wealth | Jun 14, 2024 | n/a | yes | LAGUNA HILLS, CA | Current employment |
| S••••••••• A•••••• A•••••••• I••• | Former SEC adviser | Mar 2, 2023 | Jun 14, 2024 | no | LAGUNA HILLS, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| S••••••••• A•••••• A•••••••• I••• | O•••• W•••••• I••• | Jun 14, 2024 | Jun 14, 2024 | 0 | Bulk transfer | Ibd to ibd |
| V••••• W••••• S••••••••• L•• | L•• F•••••••• L•• | Sep 12, 2023 | Nov 29, 2017 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 282275:289737:CA:2017-12-31 | Dec 31, 2017 | Oct 20, 2017 | NAPA, CA | Firm change after gap |
| 29604:282275:CA:2017-11-29 | Nov 29, 2017 | Jun 30, 2017 | EMERYVILLE, CA | Firm change after gap |
| L•• F•••••••• L•• | Bd affiliated wealth | Nov 29, 2017 | Apr 6, 2018 | no | LODI, CA|Emeryville, CA|LAGUNA HILLS, CA | Previous registration |
| V••••• W••••• S••••••••• L•• | Independent wealth | Oct 20, 2017 | Sep 12, 2023 | no | Napa, CA | Previous registration |
| V••••• W••••• S••••••••• | n/a | Jun 30, 2017 | Dec 31, 2017 | no | Napa, CA | Previous registration |
| N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• | Former SEC adviser | Apr 1, 2014 | Nov 29, 2017 | no | SAN DIMAS, CA|EMERYVILLE, CA|Napa, CA|Emeryville, CA | Previous registration |
| -2,113 |
| Firm change after gap |
| RIA to RIA |
| L•• F•••••••• L•• | S••••••••• A•••••• A•••••••• I••• | Apr 6, 2018 | Mar 2, 2023 | 1,791 | Firm change after gap | RIA to ibd |
| V••••• W••••• S••••••••• | V••••• W••••• S••••••••• L•• | Dec 31, 2017 | Oct 20, 2017 | -72 | Firm change after gap | Other |
| N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• | V••••• W••••• S••••••••• | Nov 29, 2017 | Jun 30, 2017 | -152 | Firm change after gap | Other |