DFX Intelligence
Reading the graph
Reading the graph
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Advisor at S•••••••• W•••••• L••
LOS ANGELES, CA | 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 |
|---|---|---|---|---|---|---|
| S•••••••• W•••••• L•• | Independent wealth | Jan 5, 2026 | n/a | yes | Newport Beach, CA|LOS ANGELES, CA | Current employment |
| L•• F•••••••• L•• | Bd affiliated wealth | Jul 19, 2023 | Jan 24, 2025 | no | CULVER CITY, CA|REDONDO BEACH, CA|BEVERLY HILLS, CA|LOS ANGELES, CA|TORRANCE, CA|PASADENA, CA|LAKEWOOD, CA|SANTA MONICA, CA|GARDENA, CA|TORRANCE, CA|RANCHO PALOS VERDES, CA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| L•• F•••••••• L•• | S•••••••• W•••••• L•• | Jan 24, 2025 | Jan 5, 2026 | 346 | Firm change | Ibd to RIA |
| B••••••• I••••••••• S•••••••• I••• ••••• | L•• F•••••••• L•• | Jul 19, 2023 | Jul 19, 2023 |
| Previous registration |
| B••••••• I••••••••• S•••••••• I••• ••••• | Former SEC adviser | Jul 3, 2019 | Jul 19, 2023 | no | SANTA ANA, CA|SANTA ANA, CA|TUSTIN, CA|HUNTINGTON BEACH, CA|LAKEWOOD, CA|TORRANCE, CA|PASADENA, CA | Previous registration |
| R•••••• J•••• • A••••••••• I••• | National bd RIA | Dec 23, 2016 | Jul 3, 2019 | no | ROLLING HILLS ESTATES, CA | Previous registration |
| 0 |
| Bulk transfer |
| Ibd to ibd |
| R•••••• J•••• • A••••••••• I••• | B••••••• I••••••••• S•••••••• I••• ••••• | Jul 3, 2019 | Jul 3, 2019 | 0 | Firm change | Ibd to ibd |