DFX Intelligence
Reading the graph
Reading the graph
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Advisor at O•••• A••••••• S•••••••• L••
Hermosa Beach, 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 |
|---|---|---|---|---|---|---|
| O•••• A••••••• S•••••••• L•• | Bd affiliated wealth | Oct 13, 2025 | n/a | yes | Hermosa Beach, CA | Current employment |
| O•••• W•••••• I••• | Bd affiliated wealth | Oct 13, 2025 | n/a | yes | Hermosa Beach, CA | Current employment |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| E•••••••• W••••• M••••••••• | O•••• W•••••• I••• | Jun 27, 2025 | Oct 13, 2025 | 108 | Firm change | RIA to ibd |
| C•••••••• A••••••• | E•••••••• W••••• M••••••••• | Nov 12, 2022 | Mar 9, 2023 |
| E•••••••• W••••• M••••••••• |
| Independent wealth |
| Mar 9, 2023 |
| Jun 27, 2025 |
| no |
| SEATTLE, WA|Irvine, CA|Irvine, CA |
| Previous registration |
| C•••••••• A••••••• | Independent wealth | Sep 22, 2021 | Nov 12, 2022 | no | BOSTON, MA|Westport, CT | Previous registration |
| R•• A••••••• L•• | Independent wealth | Sep 30, 2014 | Aug 4, 2021 | no | STAMFORD, CT | Previous registration |
| A••••••••• F•••••••• S•••••••• L•• | National bd RIA | Mar 9, 2012 | Sep 4, 2014 | no | RYE BROOK, NY|HARRISON, NY | Previous registration |
| 117 |
| Firm change |
| RIA to RIA |
| R•• A••••••• L•• | C•••••••• A••••••• | Aug 4, 2021 | Sep 22, 2021 | 49 | Firm change | RIA to RIA |
| A••••••••• F•••••••• S•••••••• L•• | R•• A••••••• L•• | Sep 4, 2014 | Sep 30, 2014 | 26 | Firm change | Other |