DFX Intelligence
Reading the graph
Reading the graph
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Advisor at F••••••• W••••• A•••••••• L••
CHICAGO, IL | EL SEGUNDO, 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 |
|---|---|---|---|---|---|---|
| F••••••• W••••• A•••••••• L•• | Independent wealth | Jun 24, 2025 | n/a | yes | CHICAGO, IL|EL SEGUNDO, CA | Current employment |
| M••••• S•••••• | Wirehouse | Jun 1, 2009 | Jun 11, 2025 | no | LOS ANGELES, CA|Los Angeles, CA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| M••••• S•••••• | F••••••• W••••• A•••••••• L•• | Jun 11, 2025 | Jun 24, 2025 | 13 | Firm change | Wirehouse to RIA |
| M••••• S•••••• • C•• L•• | M••••• S•••••• | Jun 1, 2009 | Jun 1, 2009 |
| M••••• S•••••• • C•• L•• | n/a | Jul 31, 2008 | Jun 1, 2009 | no | LOS ANGELES, CA | Previous registration |
| U•• F•••••••• S••••••• I••• | Wirehouse | Jan 30, 2002 | Aug 29, 2008 | no | LOS ANGELES, CA|LOS ANGELES, CA | Previous registration |
| 0 |
| Bulk transfer |
| Other |
| U•• F•••••••• S••••••• I••• | M••••• S•••••• • C•• L•• | Aug 29, 2008 | Jul 31, 2008 | -29 | Firm change | Other |