DFX Intelligence
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Reading the graph
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Advisor at S•••••••• A••••••• L••
MISSION VIEJO, 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 | MISSION VIEJO, CA|MISSION VIEJO, CA | Current employment |
| F••••••• P••••••• A•• W•••••••• A••••••• | Former SEC adviser | Feb 7, 2022 | Mar 31, 2025 | no | MISSION VIEJO, CA |
| 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 |
| R••••• F•••••••• A••••••• | F••••••• P••••••• A•• W•••••••• A••••••• | Sep 13, 2021 | Feb 7, 2022 |
| R••••• F•••••••• A••••••• | Former SEC adviser | Jun 26, 2019 | Sep 13, 2021 | no | Newport Beach, CA|LA MESA, CA | Previous registration |
| A•••••• W••••• L• | Independent wealth | Sep 16, 2015 | Mar 26, 2019 | no | Carlsbad, CA | Previous registration |
| A••••••••• F•••••••• S•••••••• L•• | National bd RIA | Dec 22, 2010 | Sep 14, 2015 | no | IRVINE, CA|IRVINE, CA|Irvine, CA|ALISO VEIJO, CA | Previous registration |
| 147 |
| Firm change |
| RIA to ibd |
| A•••••• W••••• L• | R••••• F•••••••• A••••••• | Mar 26, 2019 | Jun 26, 2019 | 92 | Firm change | RIA to RIA |
| A••••••••• F•••••••• S•••••••• L•• | A•••••• W••••• L• | Sep 14, 2015 | Sep 16, 2015 | 2 | Firm change | Other |