DFX Intelligence
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Reading the graph
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Advisor at M•• S••••••••• L••
San Diego, 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 |
|---|---|---|---|---|---|---|
| M•• S••••••••• L•• | No RAUM reported | Sep 1, 2015 | n/a | yes | San Diego, CA | Current employment |
| M•• S••••••••• L•• | Former SEC adviser | Sep 17, 2014 | Sep 15, 2015 | no | San Diego, CA|SAN DIEGO, CA|NEW YORK, NY |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| S•••••••• F••••••••• I••• | M•• S••••••••• L•• | Jul 6, 2018 | Sep 17, 2014 | -1,388 | Firm change after gap | Other |
| M•• S••••••••• L•• | M•• S••••••••• L•• | Sep 15, 2015 | Sep 1, 2015 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 133763:103846:CA:2018-07-06 | Jul 6, 2018 | Sep 17, 2014 | SAN DIEGO, CA | Firm change after gap |
| S•••••••• F••••••••• I••• | Former SEC adviser | Oct 31, 2005 | Jul 6, 2018 | no | PHOENIX, AZ|SAN DIEGO, CA | Previous registration |
| R••••••••• S••••••••• I••• | n/a | Aug 14, 2002 | Dec 4, 2003 | no | CARLSBAD, CA | Previous registration |
| S••••••••• S••••••••• I••• | n/a | Nov 10, 1997 | Oct 31, 2005 | no | SAN DIEGO, CA | Previous registration |
| -14 |
| Channel change |
| Other |
| S••••••••• S••••••••• I••• | R••••••••• S••••••••• I••• | Oct 31, 2005 | Aug 14, 2002 | -1,174 | Firm change after gap | Other |
| R••••••••• S••••••••• I••• | S•••••••• F••••••••• I••• | Dec 4, 2003 | Oct 31, 2005 | 697 | Firm change after gap | Other |