DFX Intelligence
Reading the graph
Reading the graph
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Advisor at A••••••• M•••• M••••••••• L••
RANCHO SANTA FE, 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••••••• M•••• M••••••••• L•• | Independent wealth | Jun 23, 2021 | n/a | yes | RANCHO SANTA FE, CA | Current employment |
| W••••• Q•••• P•••••••• I••• | Former SEC adviser | Jan 16, 2015 | Sep 2, 2021 | no | SAN DIEGO, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| W••••• Q•••• P•••••••• I••• | A••••••• M•••• M••••••••• L•• | Sep 2, 2021 | Jun 23, 2021 | -71 | Firm change after gap | RIA to RIA |
| H••••••• • D• C•••••• L••••• | W••••• Q•••• P•••••••• I••• | Nov 12, 2015 | Jan 16, 2015 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 173545:115357:CA:2021-09-02 | Sep 2, 2021 | Jun 23, 2021 | SAN DIEGO, CA | Firm change after gap |
| 128439:173545:CA:2015-11-12 | Nov 12, 2015 | Jan 16, 2015 | SAN DIEGO, CA | Firm change after gap |
| H••••••• • D• C•••••• L••••• | Former SEC adviser | Sep 27, 2000 | Nov 12, 2015 | no | SAN DIEGO, CA | Previous registration |
| -300 |
| Firm change after gap |
| Other |