DFX Intelligence
Reading the graph
Reading the graph
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Advisor at W••••••• • N•••• W••••• M••••••••• L••
WESTLAKE VILLAGE, CA | Thousand Oaks, 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 |
|---|---|---|---|---|---|---|
| W••••••• • N•••• W••••• M••••••••• L•• | Independent wealth | Oct 11, 2023 | n/a | yes | WESTLAKE VILLAGE, CA|Thousand Oaks, CA | Current employment |
| D•••••• | Independent wealth | May 31, 2023 | Nov 28, 2023 | no | PHOENIX, AZ|Westgate Village, CA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| D•••••• | W••••••• • N•••• W••••• M••••••••• L•• | Nov 28, 2023 | Oct 11, 2023 | -48 | Firm change after gap | RIA to RIA |
| W•••••• I••••••••• S••••••••• | D•••••• | Jun 1, 2023 | Apr 28, 2023 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 39262:151367:CA:2023-06-01 | Jun 1, 2023 | Apr 28, 2023 | PASADENA, CA | Firm change after gap |
| D•••••• | Independent wealth | Apr 28, 2023 | Apr 28, 2023 | no | PHOENIX, AZ|THOUSAND OAKS, CA | Previous registration |
| W•••••• I••••••••• S••••••••• | Former SEC adviser | Mar 22, 2019 | Jun 1, 2023 | no | Pasadena, CA|PASADENA, CA | Previous registration |
| T••• I••••••••• A•••••••• L•• | Independent wealth | Mar 11, 2019 | May 17, 2019 | no | Burbank, CA|LAGUNA NIGUEL, CA | Previous registration |
| C•••••• S••••• • C••• I••• | National bd RIA | Jun 26, 2015 | Mar 5, 2019 | no | Pasadena, CA|Arcadia, CA | Previous registration |
| T••••••• I••••••••• M••••••••• I••• | Bd affiliated wealth | Dec 23, 2014 | Jan 14, 2015 | no | Thousand Oaks, CA | Previous registration |
| -34 |
| Firm change after gap |
| Ibd to RIA |
| T••• I••••••••• A•••••••• L•• | W•••••• I••••••••• S••••••••• | May 17, 2019 | Mar 22, 2019 | -56 | Firm change after gap | RIA to RIA |
| C•••••• S••••• • C••• I••• | T••• I••••••••• A•••••••• L•• | Mar 5, 2019 | Mar 11, 2019 | 6 | Firm change | Ibd to RIA |
| T••••••• I••••••••• M••••••••• I••• | C•••••• S••••• • C••• I••• | Jan 14, 2015 | Jun 26, 2015 | 163 | Firm change | Other |