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 L•• F•••••••• L••
SANTA MONICA, 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•• F•••••••• L•• | Bd affiliated wealth | Mar 4, 2011 | n/a | yes | SANTA MONICA, CA | Current employment |
| P••••••• F••••••••• I••• | Independent wealth | Jan 2, 2018 | Apr 19, 2018 | no | GAITHERSBURG, MD|Santa Monica, CA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| P••••••• F••••••••• I••• | n/a | Apr 19, 2018 | n/a | n/a | Departure no registered destination | Departure |
| N••••••••• S••••••••• L•• | L•• F•••••••• L•• | Feb 28, 2011 | Mar 4, 2011 | 4 |
| N••••••••• S••••••••• L•• | No RAUM reported | Aug 1, 2008 | Feb 28, 2011 | no | BETHESDA, MD | Previous registration |
| 1••• C•••••• M••••••••• C•••••• | n/a | Jan 9, 2008 | Aug 1, 2008 | no | BETHESDA, MD|NEWARK, DE | Previous registration |
| B••• O• A•••••• I••••••••• S•••••••• I••• | n/a | Jan 28, 2005 | Nov 19, 2007 | no | BETHESDA, MD|BETHESDA, MD | Previous registration |
| S••••••• I••••••••• S•••••••• I••• | Former SEC adviser | May 26, 2000 | Feb 4, 2005 | no | ROCKVILLE, MD | Previous registration |
| Other |
| 1••• C•••••• M••••••••• C•••••• | N••••••••• S••••••••• L•• | Aug 1, 2008 | Aug 1, 2008 | 0 | Bulk transfer | Other |
| B••• O• A•••••• I••••••••• S•••••••• I••• | 1••• C•••••• M••••••••• C•••••• | Nov 19, 2007 | Jan 9, 2008 | 51 | Firm change | Other |
| S••••••• I••••••••• S•••••••• I••• | B••• O• A•••••• I••••••••• S•••••••• I••• | Feb 4, 2005 | Jan 28, 2005 | -7 | Firm change | Other |