DFX Intelligence

Data Factory

RIA / WealthAdvisorCertified Financial Planner20 years in industry

LESLIE LOIS MALLMAN

Advisor at FIVE OCEANS ADVISORS

SANTA MONICA, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:6a578e3c-342d-7a86-be1c-9cdf93fcb0a5

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:23 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Aug 10, 2006 to Sep 14, 2026

Across DFX

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.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: FIVE OCEANS ADVISORS
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 9, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S65
First exam: Aug 9, 2006
First registration: Aug 10, 2006
Dual registered: no
Other names: LESLIE MALLMAN
IAPD individual key: 4910477

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
FIVE OCEANS ADVISORS	Independent wealth	May 7, 2024	n/a	yes	SANTA MONICA, CA	Current employment
Grove	Former SEC adviser	Dec 22, 2016	Sep 6, 2019	no	SAN FRANCISCO, CA	Previous registration
SKYLINE FINANCIAL ADVISORS, LLC	n/a	Apr 15, 2015	Apr 4, 2017	no	SAN FRANCISCO, CA	Previous registration
CURI CAPITAL, LLC	Independent wealth	Aug 10, 2006	Nov 30, 2009	no	CHICAGO, IL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
Grove	FIVE OCEANS ADVISORS	Sep 6, 2019	May 7, 2024	1,705	Firm change after gap	RIA to RIA
SKYLINE FINANCIAL ADVISORS, LLC	Grove	Apr 4, 2017	Dec 22, 2016	-103	Firm change after gap	Other
CURI CAPITAL, LLC	SKYLINE FINANCIAL ADVISORS, LLC	Nov 30, 2009	Apr 15, 2015	1,962	Firm change after gap	Other

Relationships

Registered with (4)

→ FIVE OCEANS ADVISORSRegistered adviserregistration: current employment
May 7, 2024 to presentfactForm ADV
→ GROVERegistered adviserregistration: previous registration
Dec 22, 2016 to Sep 6, 2019factForm ADV
→ SKYLINE FINANCIAL ADVISORS, LLCRegistered adviserregistration: previous registration
Apr 15, 2015 to Apr 4, 2017factForm ADV
→ CURI CAPITAL, LLCRegistered adviserregistration: previous registration
Aug 10, 2006 to Nov 30, 2009factForm ADV

Dated events

No dated event names this entity yet.