DFX Intelligence
Reading the graph
Reading the graph
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Advisor at L•• F•••••••• L••
PASADENA, CA | SAN GABRIEL, 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 |
|---|---|---|---|---|---|---|
| L•• F•••••••• L•• | Bd affiliated wealth | May 15, 2025 | n/a | yes | SAN GABRIEL, CA|PASADENA, CA | Current employment |
| C••• F•••••••• S•••••••• L••• | Former SEC adviser | Sep 16, 2008 | May 15, 2025 | no | Hawthorne, CA|SOUTH PASADENA, CA|San Marino, CA|SAN DIEGO, CA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| C••• F•••••••• S•••••••• L••• | L•• F•••••••• L•• | May 15, 2025 | May 15, 2025 | 0 | Bulk transfer | Ibd to ibd |
| A••••••••• F•••••••• S•••••••• L•• | C••• F•••••••• S•••••••• L••• | Jul 10, 2008 | Sep 16, 2008 |
| A••••••••• F•••••••• S•••••••• L•• | National bd RIA | Apr 25, 2006 | Jul 10, 2008 | no | Los Angeles, CA | Previous registration |
| A••••••••• A•••••• S•••••••• I••• | n/a | Feb 25, 2004 | Apr 26, 2006 | no | BEVERLY HILLS, CA|CENTURY CITY, CA | Previous registration |
| W•••• F•••• I••••••••• L•• | n/a | Feb 21, 2003 | Mar 1, 2004 | no | LOS ANGELES, CA | Previous registration |
| 68 |
| Firm change |
| Other |
| A••••••••• A•••••• S•••••••• I••• | A••••••••• F•••••••• S•••••••• L•• | Apr 26, 2006 | Apr 25, 2006 | -1 | Firm change | Other |
| W•••• F•••• I••••••••• L•• | A••••••••• A•••••• S•••••••• I••• | Mar 1, 2004 | Feb 25, 2004 | -5 | Firm change | Other |