DFX Intelligence
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Reading the graph
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Advisor at L•••
New York, NY | LOS ANGELES, 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 |
|---|---|---|---|---|---|---|
| L••• | Independent wealth | Dec 23, 2025 | n/a | yes | New York, NY|LOS ANGELES, CA | Current employment |
| S••••• C••••••• • A••••••••• I••• | Former SEC adviser | Apr 2, 2025 | Apr 1, 2026 | no | Palos Verdes Estates, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| S••••• C••••••• • A••••••••• I••• | L••• | Apr 1, 2026 | Dec 23, 2025 | -99 | Firm change after gap | RIA to RIA |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 112105:269866:CA:2026-04-01 | Apr 1, 2026 | Dec 23, 2025 | PALOS VERDES ESTATES, CA | Firm change after gap |