DFX Intelligence
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Reading the graph
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Advisor at S•••
Aliso Viejo, CA | LOS ANGELES, 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••••• M•••• M••••••••• I••• | Independent wealth | Feb 9, 2026 | n/a | yes | Aliso Viejo, CA|LOS ANGELES, CA | Current employment |
| S••• | Bd affiliated wealth | Oct 22, 2025 | n/a | yes | LOS ANGELES, CA|Aliso Viejo, CA | Current employment |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| S••••• M•••• M••••••••• I••• | S••• | Dec 31, 2025 | Oct 22, 2025 | -70 | Channel change | RIA to ibd |
| S••••• P•••••••• M••••••••• I•• | S••••• M•••• M••••••••• I••• | Oct 19, 2025 | Mar 21, 2019 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 153256:108163:CA:2025-12-31 | Dec 31, 2025 | Oct 22, 2025 | LOS ANGELES, CA | Firm change after gap |
| 107228:153256:CA:2025-10-19 | Oct 19, 2025 | Mar 21, 2019 | ALISO VIEJO, CA | Firm change after gap |
| S••••• M•••• M••••••••• I••• |
| Independent wealth |
| Mar 21, 2019 |
| Dec 31, 2025 |
| no |
| LOS ANGELES, CA |
| Previous registration |
| S••••• P•••••••• M••••••••• I•• | Former SEC adviser | Mar 21, 2019 | Oct 19, 2025 | no | ALISO VIEJO, CA | Previous registration |
| -2,404 |
| Firm change after gap |
| Other |