DFX Intelligence
Reading the graph
Reading the graph
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Advisor at A••••••• W••••• P•••••••• L••
SANTA BARBARA, 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 |
|---|---|---|---|---|---|---|
| A••••••• W••••• P•••••••• L•• | Independent wealth | Dec 23, 2021 | n/a | yes | SANTA BARBARA, CA | Current employment |
| A•••••• L•• | Independent wealth | Sep 25, 2017 | Dec 31, 2021 | no | SANTA BARBARA, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| A•••••• L•• | A••••••• W••••• P•••••••• L•• | Dec 31, 2021 | Dec 23, 2021 | -8 | Firm change | RIA to RIA |
| A••••••• W••••• P•••••••• L•• | A•••••• L•• | Nov 16, 2017 | Sep 25, 2017 |
| A••••••• W••••• P•••••••• L•• | n/a | Jul 22, 2016 | Nov 16, 2017 | no | SANTA BARBARA, CA | Previous registration |
| W••• C•••• F••••••••• L•• | Former SEC adviser | Feb 14, 2011 | Jun 21, 2016 | no | SANTA BARBARA, CA | Previous registration |
| Firm change after gap |
| Other |
| W••• C•••• F••••••••• L•• | A••••••• W••••• P•••••••• L•• | Jun 21, 2016 | Jul 22, 2016 | 31 | Firm change | Other |