DFX Intelligence
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Reading the graph
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Advisor at C••••• I••••••••• A••••••• L••
UNIVERSITY HEIGHTS, OH | SAN DIEGO, 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 |
|---|---|---|---|---|---|---|
| C••••• I••••••••• A••••••• L•• | Bd affiliated wealth | Apr 26, 2024 | n/a | yes | SAN DIEGO, CA|UNIVERSITY HEIGHTS, OH | Current employment |
| C••••• I••••••••• M••••••••• L•• | No RAUM reported | Jun 9, 2015 | n/a | yes | SAN DIEGO, CA|UNIVERSITY HEIGHTS, OH |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| F•••• A••••• A•••• M••••••••• I••• | C••••• I••••••••• M••••••••• L•• | Oct 30, 2015 | Jun 9, 2015 | -143 | Firm change after gap | Other |
| F•••• A••••• S••••••••• I••• | F•••• A••••• A•••• M••••••••• I••• | Jul 25, 2012 | May 27, 2011 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 140292:165436:CA:2015-10-30 | Oct 30, 2015 | Jun 9, 2015 | SAN DIEGO, CA | Firm change after gap |
| F•••• A••••• A•••• M••••••••• I••• | Former SEC adviser | May 27, 2011 | Oct 30, 2015 | no | SCOTTSDALE, AZ|SAN DIEGO, CA | Previous registration |
| F•••• A••••• S••••••••• I••• | Former SEC adviser | Oct 4, 2010 | Jul 25, 2012 | no | SAN DIEGO, CA|SAN DIEGO, CA | Previous registration |
| -425 |
| Channel change |
| Other |