DFX Intelligence
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Reading the graph
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Advisor at L•• E••••••••• L••
HUNTINGTON BEACH, CA | REDLANDS, 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 |
|---|---|---|---|---|---|---|
| L•• E••••••••• L•• | Bd affiliated wealth | Nov 14, 2024 | n/a | yes | REDLANDS, CA|HUNTINGTON BEACH, CA | Current employment |
| P•••• S••••••••• L•• | No RAUM reported | Mar 30, 2021 | Nov 14, 2024 | no | Ontario, CA|IRVINE, CA|Redlands, CA|Redlands, CA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| P•••• S••••••••• L•• | L•• E••••••••• L•• | Nov 14, 2024 | Nov 14, 2024 | 0 | Bulk transfer | Ibd to new firm |
| C••• F•••••••• S•••••••• L••• | P•••• S••••••••• L•• | Mar 26, 2021 | Mar 30, 2021 |
| C••• F•••••••• S•••••••• L••• | Former SEC adviser | Aug 1, 2016 | Mar 26, 2021 | no | Highland, CA|Chino, CA|Riverside, CA|San Bernardino, CA|SAN DIEGO, CA|Yucaipa, CA|Rialto, CA|Victorville, CA|Redlands, CA | Previous registration |
| W•••••• • R••• | Former SEC adviser | Jan 14, 2014 | Aug 22, 2016 | no | ONTARIO, CA|BREA, CA | Previous registration |
| P•••• S••••••••• L•• | No RAUM reported | Jan 10, 2013 | Jan 9, 2014 | no | ONTARIO, CA | Previous registration |
| 4 |
| Firm change |
| Ibd to ibd |
| W•••••• • R••• | C••• F•••••••• S•••••••• L••• | Aug 22, 2016 | Aug 1, 2016 | -21 | Firm change | Other |
| P•••• S••••••••• L•• | W•••••• • R••• | Jan 9, 2014 | Jan 14, 2014 | 5 | Firm change | Other |