DFX Intelligence
Reading the graph
Reading the graph
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Advisor at P•••••••• S••••••••• I•••
IRVINE, 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 |
|---|---|---|---|---|---|---|
| P•••••••• S••••••••• I••• | Bd affiliated wealth | Apr 8, 2024 | n/a | yes | IRVINE, CA | Current employment |
| M•• I•••••••• S•••••••• L•• | Bd affiliated wealth | Nov 16, 2022 | Apr 9, 2024 | no | Costa Mesa, CA|Newport Beach, CA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| M•• I•••••••• S•••••••• L•• | P•••••••• S••••••••• I••• | Apr 9, 2024 | Apr 8, 2024 | -1 | Firm change | Ibd to ibd |
| S••••••• F•••••••• S•••••••• I••• | M•• I•••••••• S•••••••• L•• | Nov 18, 2022 | Nov 16, 2022 |
| S••••••• F•••••••• S•••••••• I••• | Former SEC adviser | Sep 9, 2020 | Nov 18, 2022 | no | NEWPORT BEACH, CA | Previous registration |
| H••••••• I••••••••• | Former SEC adviser | Nov 8, 2019 | Jul 16, 2020 | no | LOS ANGELES, CA | Previous registration |
| E•••••••• A•••••••• L•• | National bd RIA | Oct 5, 2009 | Jan 20, 2012 | no | CERRITOS, CA|LOS ANGELES, CA|LOS ANGELES, CA | Previous registration |
| -2 |
| Firm change |
| RIA to ibd |
| H••••••• I••••••••• | S••••••• F•••••••• S•••••••• I••• | Jul 16, 2020 | Sep 9, 2020 | 55 | Firm change | RIA to ibd |
| E•••••••• A•••••••• L•• | H••••••• I••••••••• | Jan 20, 2012 | Nov 8, 2019 | 2,849 | Firm change after gap | Ibd to RIA |