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Reading the graph
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Advisor at T•• N••••• G•••• L••
Heber City, UT
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 |
|---|---|---|---|---|---|---|
| T•• N••••• G•••• L•• | Independent wealth | Apr 3, 2024 | n/a | yes | Heber City, UT | Current employment |
| B•••• T•••• W••••• M••••••••• L•• | Mixed wealth | Nov 2, 2020 | Apr 1, 2024 | no | Irvine, CA|Newport Beach, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| B•••• T•••• W••••• M••••••••• L•• | T•• N••••• G•••• L•• | Apr 1, 2024 | Apr 3, 2024 | 2 | Firm change | RIA to RIA |
| S•••• M••••• F•••••••• S•••••••• L•• | S•••• I••••••••• A••••••• I••••••••• | Dec 22, 2020 | Apr 30, 2001 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 112483:107778:CA:2020-12-22 | Dec 22, 2020 | Apr 30, 2001 | IRVINE, CA | Firm change after gap |
| S•••• I••••••••• A••••••• I••••••••• | State registered | Apr 30, 2001 | Dec 15, 2004 | no | NEWPORT BEACH, CA | Previous registration |
| S•••• M••••• F•••••••• S•••••••• L•• | Former SEC adviser | Jun 26, 2000 | Dec 22, 2020 | no | NEWPORT BEACH, CA|IRVINE, CA | Previous registration |
| -7,176 |
| Firm change after gap |
| RIA to state RIA |
| S•••• I••••••••• A••••••• I••••••••• | B•••• T•••• W••••• M••••••••• L•• | Dec 15, 2004 | Nov 2, 2020 | 5,801 | Firm change after gap | Other |