DFX Intelligence
Reading the graph
Reading the graph
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Advisor at S•••••••• A••••••• L••
TUSTIN, 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 | TUSTIN, CA | Current employment |
| F••••••• P••••••• A•• W•••••••• A••••••• | Former SEC adviser | Apr 9, 2019 | Mar 31, 2025 | no | SAN F••••••••, CA | Previous registration |
| 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 |
| A••••• A•• P••••••• S••••••• | F••••••• P••••••• A•• W•••••••• A••••••• | Oct 12, 2018 | Apr 9, 2019 |
| A••••• A•• P••••••• S••••••• | Bd affiliated wealth | May 22, 2014 | Oct 12, 2018 | no | SAN F••••••••, CA|SAN F••••••••, CA | Previous registration |
| T•• A••••••• G•••• O• S•• F••••••••• L•• | Independent wealth | Oct 19, 2011 | May 7, 2014 | no | SAN F••••••••, CA | Previous registration |
| C••••••••• W••• • C• I•• | Independent wealth | Jul 31, 2008 | Jun 21, 2011 | no | SAN DIEGO, CA|SAN DIEGO, CA | Previous registration |
| 179 |
| Firm change |
| Ibd to ibd |
| T•• A••••••• G•••• O• S•• F••••••••• L•• | A••••• A•• P••••••• S••••••• | May 7, 2014 | May 22, 2014 | 15 | Firm change | Other |
| C••••••••• W••• • C• I•• | T•• A••••••• G•••• O• S•• F••••••••• L•• | Jun 21, 2011 | Oct 19, 2011 | 120 | Firm change | Other |