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••••• A•••••••• L••
Valley Center, CA | PARSIPPANY, NJ
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••••• A•••••••• L•• | Independent wealth | Apr 10, 2025 | n/a | yes | PARSIPPANY, NJ|Valley Center, CA | Current employment |
| O••••• I••••••••• A••••••• L•• | Independent wealth | May 4, 2021 | May 4, 2022 | no | SARASOTA, FL|Ramona, CA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| W•••••• W••••• M••••••••• | O••••• I••••••••• A••••••• L•• | Jul 15, 2025 | May 4, 2021 | -1,533 | Firm change after gap | Other |
| O••••• I••••••••• A••••••• L•• | S•• W••••• A•••••••• L•• | May 4, 2022 | Apr 10, 2025 |
| W•••••• W••••• M••••••••• | n/a | May 26, 2020 | Jul 15, 2025 | no | RAMONA, CA | Previous registration |
| P••••••• C•••••• M••••••••• L•• | Independent wealth | Feb 28, 2020 | Apr 17, 2020 | no | SAN DIEGO, CA | Previous registration |
| F•••• A••••• A••••••• S•••••••• I••• | Former SEC adviser | Feb 28, 2020 | Apr 17, 2020 | no | San Diego, CA | Previous registration |
| F••••••• P••••••• A•• W•••••••• A••••••• | Former SEC adviser | Jul 13, 2018 | Mar 2, 2020 | no | BOSTON, MA | Previous registration |
| S•••••••• A••••••• L•• | National bd RIA | Aug 15, 2011 | Jul 13, 2018 | no | MISSION VIEJO, CA|IRVINE, CA|SAN DIEGO, CA | Previous registration |
| M••••• S•••••• | Wirehouse | Jun 1, 2009 | Jul 7, 2011 | no | ONTARIO, CA | Previous registration |
| M••••• S•••••• • C•• L•• | n/a | Apr 2, 2007 | Jun 1, 2009 | no | ONTARIO, CA | Previous registration |
| M••••• S•••••• D• I••• | n/a | Jul 17, 2006 | Apr 2, 2007 | no | ONTARIO, CA | Previous registration |
| 1,072 |
| Firm change after gap |
| RIA to RIA |
| F•••• A••••• A••••••• S•••••••• I••• | W•••••• W••••• M••••••••• | Apr 17, 2020 | May 26, 2020 | 39 | Firm change | Other |
| P••••••• C•••••• M••••••••• L•• | F•••• A••••• A••••••• S•••••••• I••• | Apr 17, 2020 | Feb 28, 2020 | -49 | Firm change after gap | RIA to ibd |
| F••••••• P••••••• A•• W•••••••• A••••••• | P••••••• C•••••• M••••••••• L•• | Mar 2, 2020 | Feb 28, 2020 | -3 | Firm change | Ibd to RIA |
| S•••••••• A••••••• L•• | F••••••• P••••••• A•• W•••••••• A••••••• | Jul 13, 2018 | Jul 13, 2018 | 0 | Bulk transfer | Ibd to new firm |
| M••••• S•••••• | S•••••••• A••••••• L•• | Jul 7, 2011 | Aug 15, 2011 | 39 | Firm change | Wirehouse to ibd |
| M••••• S•••••• • C•• L•• | M••••• S•••••• | Jun 1, 2009 | Jun 1, 2009 | 0 | Bulk transfer | Other |
| M••••• S•••••• D• I••• | M••••• S•••••• • C•• L•• | Apr 2, 2007 | Apr 2, 2007 | 0 | Bulk transfer | Other |