DFX Intelligence
Reading the graph
Reading the graph
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Advisor at I••••• P•••••• W•••••
LOS ANGELES, 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 |
|---|---|---|---|---|---|---|
| I••••• P•••••• W••••• | State registered | Apr 27, 2026 | n/a | yes | LOS ANGELES, CA | Current employment |
| S•••••••• A••••••• L•• | National bd RIA | Mar 31, 2025 | Mar 16, 2026 | no | SANTA MONICA, CA|LOS ANGELES, CA|BOSTON, MA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| S•••••••• A••••••• L•• | I••••• P•••••• W••••• | Mar 16, 2026 | Apr 27, 2026 | 42 | Firm change | Ibd to state RIA |
| F••••••• P••••••• A•• W•••••••• A••••••• | S•••••••• A••••••• L•• | Mar 31, 2025 | Mar 31, 2025 |
| F••••••• P••••••• A•• W•••••••• A••••••• | Former SEC adviser | Jul 13, 2018 | Mar 31, 2025 | no | BOSTON, MA|LOS ANGELES, CA|SANTA MONICA, CA | Previous registration |
| S•••••••• A••••••• L•• | National bd RIA | Jan 12, 2011 | Jul 13, 2018 | no | COVINGTON, KY|SANTA MONICA, CA | Previous registration |
| 0 |
| Bulk transfer |
| Ibd to ibd |
| S•••••••• A••••••• L•• | F••••••• P••••••• A•• W•••••••• A••••••• | Jul 13, 2018 | Jul 13, 2018 | 0 | Bulk transfer | Ibd to new firm |