DFX Intelligence
Reading the graph
Reading the graph
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Advisor at E•••••• E••••• L••
••• Locked
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 |
|---|---|---|---|---|---|---|
| E•••••• E••••• L•• | Bd affiliated wealth | Mar 31, 2025 | n/a | yes | New York, NY|SAN MATEO, CA|Irvine, CA | Current employment |
| K•••••••• W••••• A•••••••• L•• | Bd affiliated wealth | Jan 3, 2022 | Mar 25, 2025 | no | New York, NY|SAN DIEGO, CA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| K•••••••• W••••• A•••••••• L•• | E•••••• E••••• L•• | Mar 25, 2025 | Mar 31, 2025 | 6 | Firm change | Ibd to ibd |
| B•••••••• A••••••• S•••••••• L•• | K•••••••• W••••• A•••••••• L•• | Jan 3, 2022 | Jan 3, 2022 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 288792:130032:CA:2025-03-19 | Mar 25, 2025 | Mar 31, 2025 | SAN DIEGO, CA | Firm change |
| B•••••••• A••••••• S•••••••• L•• | No RAUM reported | May 21, 2020 | Jan 3, 2022 | no | SAN DIEGO, CA | Previous registration |
| S••••••••• A•••••••• I••• | Mixed wealth | Jun 19, 2015 | May 28, 2020 | no | RIDGEWOOD, NJ|AUSTIN, TX|RIDGEWOOD, NJ | Previous registration |
| C•••••• G••••••• W••••• M••••••••• L•• | Former SEC adviser | Jul 1, 2011 | Mar 17, 2015 | no | RIDGEWOOD, NJ | Previous registration |
| P••••••• F•••••••• S•••••••• I••• | Bd affiliated wealth | Jan 3, 2011 | Jul 5, 2011 | no | RIDGEWOOD, NJ|DALLAS, TX | Previous registration |
| P••••••• F•••••••• S•••••••• I••• | Bd affiliated wealth | May 25, 2010 | Dec 31, 2010 | no | RIDGEWOOD, NJ|DALLAS, TX | Previous registration |
| C••••• I••••••••• A••••••• L•• | Bd affiliated wealth | Jul 27, 2006 | May 28, 2010 | no | WESTWOOD, NJ|RIDGEWOOD, NJ|RIDGEWOOD, NJ | Previous registration |
| N•• C•••••• F•••••••• G••••• L•• | Former SEC adviser | Jul 23, 2002 | Apr 5, 2004 | no | PRINCETON, NJ | Previous registration |
| 0 |
| Firm change |
| RIA to RIA |
| S••••••••• A•••••••• I••• | B•••••••• A••••••• S•••••••• L•• | May 28, 2020 | May 21, 2020 | -7 | Firm change | RIA to RIA |
| C•••••• G••••••• W••••• M••••••••• L•• | S••••••••• A•••••••• I••• | Mar 17, 2015 | Jun 19, 2015 | 94 | Firm change | Other |
| P••••••• F•••••••• S•••••••• I••• | C•••••• G••••••• W••••• M••••••••• L•• | Jul 5, 2011 | Jul 1, 2011 | -4 | Firm change | Other |
| C••••• I••••••••• A••••••• L•• | P••••••• F•••••••• S•••••••• I••• | May 28, 2010 | May 25, 2010 | -3 | Firm change | Other |
| N•• C•••••• F•••••••• G••••• L•• | C••••• I••••••••• A••••••• L•• | Apr 5, 2004 | Jul 27, 2006 | 843 | Firm change after gap | Other |