DFX Intelligence
Reading the graph
Reading the graph
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Advisor at U•• F•••••••• S••••••• I•••
NEWPORT BEACH, 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 |
|---|---|---|---|---|---|---|
| U•• F•••••••• S••••••• I••• | Wirehouse | Oct 25, 2023 | n/a | yes | NEWPORT BEACH, CA | Current employment |
| T•• B•••••• G•••• W••••• A•••••••• L•• | Other adviser | Mar 12, 2021 | Oct 26, 2023 | no | TAMPA, FL | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| T•• B•••••• G•••• W••••• A•••••••• L•• | U•• F•••••••• S••••••• I••• | Oct 26, 2023 | Oct 25, 2023 | -1 | Firm change | Other |
| B•••••• G••••• W••••• A•••••••• I••• | T•• B•••••• G•••• W••••• A•••••••• L•• | Mar 12, 2021 | Mar 12, 2021 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 282035:312284:CA:2021-03-12 | Mar 12, 2021 | Mar 12, 2021 | IRVINE, CA | Firm change |
| B•••••• G••••• W••••• A•••••••• I••• | Former SEC adviser | Sep 19, 2019 | Mar 12, 2021 | no | IRVINE, CA | Previous registration |
| M••••• L•• | Independent wealth | Oct 31, 2017 | Aug 14, 2019 | no | Boston, MA|RADNOR, PA | Previous registration |
| 0 |
| Firm change |
| Other |
| M••••• L•• | B•••••• G••••• W••••• A•••••••• I••• | Aug 14, 2019 | Sep 19, 2019 | 36 | Firm change | Other |