DFX Intelligence
Reading the graph
Reading the graph
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Advisor at A•••••••• C•••••• W••••• M••••••••• L••
RED BANK, NJ | ALHAMBRA, 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 |
|---|---|---|---|---|---|---|
| A•••••••• C•••••• W••••• M••••••••• L•• | Independent wealth | Jan 1, 2025 | n/a | yes | RED BANK, NJ|ALHAMBRA, CA | Current employment |
| C•••• C•••••• S••••••••• L••• | Former SEC adviser | Feb 27, 2017 | Dec 31, 2022 | no | DOWNEY, CA|ORANGE, CA|Alhambra, CA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| C•••• C•••••• S••••••••• L••• | A•••••••• C•••••• W••••• M••••••••• L•• | Dec 31, 2022 | Jan 1, 2025 | 732 | Firm change after gap | Ibd to RIA |
| R•••• I••••••••• A••••••• L•• | C•••• C•••••• S••••••••• L••• | Feb 28, 2017 | Feb 27, 2017 |
| R•••• I••••••••• A••••••• L•• | Bd affiliated wealth | Jan 2, 2015 | Feb 28, 2017 | no | DOWNEY, CA|KENTWOOD, MI | Previous registration |
| B••••• O•• I••••••••• A••••••• | Former SEC adviser | May 28, 2014 | Dec 31, 2014 | no | DOWNEY, CA|KENTWOOD, MI | Previous registration |
| C•••••••• F••••••••• I••• | Bd affiliated wealth | Apr 2, 2012 | Jun 23, 2014 | no | ANAHEIM, CA|DOWNEY, CA|DOWNEY, CA | Previous registration |
| C•••• I••••••••• S••••••• C•••• | Former SEC adviser | May 2, 2009 | Apr 2, 2012 | no | HUNTINGTON PARK, CA|LYNWOOD, CA|BELL, CA|SOUTH GATE, CA|BELL GARDENS, CA|LOS ANGELES, CA|LOS ANGELES, CA|HUNTINGTON PARK,, CA|LYNWOOD, CA | Previous registration |
| W••• I••••••••• I••• | n/a | Dec 15, 2008 | May 2, 2009 | no | SOUTH GATE, CA|BELL, CA|BELL GARDENS, CA|HUNTINGTON PARK, CA|LYNWOOD, CA|LOS ANGELES, CA|LOS ANGELES, CA | Previous registration |
| -1 |
| Firm change |
| Other |
| B••••• O•• I••••••••• A••••••• | R•••• I••••••••• A••••••• L•• | Dec 31, 2014 | Jan 2, 2015 | 2 | Firm change | Other |
| C•••••••• F••••••••• I••• | B••••• O•• I••••••••• A••••••• | Jun 23, 2014 | May 28, 2014 | -26 | Firm change | Other |
| C•••• I••••••••• S••••••• C•••• | C•••••••• F••••••••• I••• | Apr 2, 2012 | Apr 2, 2012 | 0 | Firm change | Other |
| W••• I••••••••• I••• | C•••• I••••••••• S••••••• C•••• | May 2, 2009 | May 2, 2009 | 0 | Bulk transfer | Other |