DFX Intelligence
Reading the graph
Reading the graph
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Advisor at S•••••••• A••••••• L••
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 |
|---|---|---|---|---|---|---|
| S•••••••• A••••••• L•• | National bd RIA | Mar 31, 2025 | n/a | yes | SAN DIEGO, CA|SAN DIEGO, CA | Current employment |
| F••••••• P••••••• A•• W•••••••• A••••••• | Former SEC adviser | Jul 13, 2018 | Mar 31, 2025 | no | BOSTON, MA|SAN DIEGO, CA|SAN DIEGO, 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 |
| S•••••••• A••••••• L•• | F••••••• P••••••• A•• W•••••••• A••••••• | Jul 13, 2018 | Jul 13, 2018 |
| S•••••••• A••••••• L•• | National bd RIA | Aug 25, 2015 | Jul 13, 2018 | no | MILLBURN, NJ | Previous registration |
| U•• F•••••••• S••••••• I••• | Wirehouse | Jun 13, 2011 | Jun 15, 2015 | no | WEEHAWKEN, NJ | Previous registration |
| S••••••• F•••••••• S•••••••• I••• | Former SEC adviser | Mar 10, 2010 | May 18, 2011 | no | CLINTON, NJ|PARSIPPANY, NJ | Previous registration |
| 0 |
| Bulk transfer |
| Ibd to new firm |
| U•• F•••••••• S••••••• I••• | S•••••••• A••••••• L•• | Jun 15, 2015 | Aug 25, 2015 | 71 | Firm change | Wirehouse to ibd |
| S••••••• F•••••••• S•••••••• I••• | U•• F•••••••• S••••••• I••• | May 18, 2011 | Jun 13, 2011 | 26 | Firm change | Other |