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 J••• M••••• S••••••••• 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 |
|---|---|---|---|---|---|---|
| J••• M••••• S••••••••• L•• | Wirehouse | Feb 7, 2023 | n/a | yes | San Diego, CA | Current employment |
| C•••••• I••••••••• A•••••••• L•• | Independent wealth | Feb 9, 2017 | Jun 27, 2018 | no | ATLANTA, GA|San Diego, CA|Phoenix, AZ|Denver, CO|Seattle, WA|Long Beach, CA|Albuquerque, NM |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| C•••••• I••••••••• A•••••••• L•• | J••• M••••• S••••••••• L•• | Jun 27, 2018 | Feb 7, 2023 | 1,686 | Firm change after gap | RIA to wirehouse |
| A••••••• F•••• | C•••••• I••••••••• A•••••••• L•• | Dec 20, 2011 | Feb 9, 2017 |
| A••••••• F•••• | Former SEC adviser | May 11, 2007 | Dec 20, 2011 | no | LA JOLLA, CA | Previous registration |
| P•••• S••••••••• L•• | No RAUM reported | Nov 3, 2000 | Mar 11, 2005 | no | SAN DIEGO, CA | Previous registration |
| 1,878 |
| Firm change after gap |
| Other |
| P•••• S••••••••• L•• | A••••••• F•••• | Mar 11, 2005 | May 11, 2007 | 791 | Firm change after gap | Other |