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•••••••• A••••••• L••
SAN DIEGO, CA | IRVINE, 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•••••••• A••••••• L•• | National bd RIA | Mar 31, 2025 | n/a | yes | SAN DIEGO, CA|SAN DIEGO, CA|IRVINE, CA | Current employment |
| F••••••• P••••••• A•• W•••••••• A••••••• | Former SEC adviser | Nov 4, 2021 | Mar 31, 2025 | no | SALT LAKE CITY, UT |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| F••••••• P••••••• A•• W•••••••• A••••••• | S•••••••• A••••••• L•• | Mar 31, 2025 | Mar 31, 2025 | 0 | Bulk transfer | Ibd to ibd |
| B•••••••• F•••••••• S•••••••• I••• | F••••••• P••••••• A•• W•••••••• A••••••• | Aug 3, 2021 | Nov 4, 2021 |
| B•••••••• F•••••••• S•••••••• I••• | State registered | Jun 7, 2021 | Aug 3, 2021 | no | ROSEVILLE, CA | Previous registration |
| M•• I•••••••• S•••••••• L•• | Bd affiliated wealth | Feb 25, 2021 | Apr 20, 2021 | no | Roseville, CA | Previous registration |
| A••••••••• F•••••••• S•••••••• L•• | National bd RIA | Jun 5, 2020 | Nov 12, 2020 | no | Roseville, CA | Previous registration |
| 93 |
| Firm change |
| Other |
| M•• I•••••••• S•••••••• L•• | B•••••••• F•••••••• S•••••••• I••• | Apr 20, 2021 | Jun 7, 2021 | 48 | Firm change | Ibd to state RIA |
| A••••••••• F•••••••• S•••••••• L•• | M•• I•••••••• S•••••••• L•• | Nov 12, 2020 | Feb 25, 2021 | 105 | Firm change | Ibd to ibd |