DFX Intelligence
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Reading the graph
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Advisor at O•••• F•••••••• G••••• 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•••• G••••• A•••••••• L•• | Asset manager | May 30, 2019 | n/a | yes | SANTA BARBARA, CA | Current employment |
| O•••• F•••••••• G••••• L•• | Independent wealth | Jun 1, 2012 | n/a | yes | SANTA BARBARA, CA | Current employment |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| W•••• F•••• A••••••• | O•••• F•••••••• G••••• L•• | Jul 3, 2012 | Jun 1, 2012 | -32 | Firm change after gap | Wirehouse to new firm |
| W•••• F•••• A••••••• | W•••• F•••• A••••••• | Feb 16, 2010 | Feb 16, 2010 |
| Wirehouse |
| Feb 16, 2010 |
| Jul 3, 2012 |
| no |
| SANTA BARBARA, CA |
| Previous registration |
| W•••• F•••• A••••••• | Wirehouse | Jul 1, 2003 | Feb 16, 2010 | no | SANTA BARBARA, CA|SANTA BARBARA, CA | Previous registration |
| P••••••••• E••••• G••••• L•• | n/a | Jun 4, 2003 | Jul 1, 2003 | no | SANTA BARBARA, CA | Previous registration |
| M••••• S•••••• D• I••• | n/a | Dec 14, 1999 | May 28, 2003 | no | SANTA BARBARA, CA | Previous registration |
| 0 |
| Channel change |
| Wirehouse to wirehouse |
| P••••••••• E••••• G••••• L•• | W•••• F•••• A••••••• | Jul 1, 2003 | Jul 1, 2003 | 0 | Bulk transfer | Other |
| M••••• S•••••• D• I••• | P••••••••• E••••• G••••• L•• | May 28, 2003 | Jun 4, 2003 | 7 | Firm change | Other |