DFX Intelligence
Reading the graph
Reading the graph
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Advisor at S•• W••••• M••••••••• I•••
LA CRESCENTA, CA | BEVERLY HILLS, 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•••• W•••••• I••• | Bd affiliated wealth | May 5, 2015 | n/a | yes | BEVERLY HILLS, CA | Current employment |
| S•• W••••• M••••••••• I••• | State registered | Aug 3, 2012 | n/a | yes | LA CRESCENTA, CA | Current employment |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| T•• W••••• C••••••••• I••• | S•• W••••• M••••••••• I••• | May 10, 2011 | Aug 3, 2012 | 451 | Firm change after gap | Other |
| L•• F•••••••• I••• | T•• W••••• C••••••••• I••• | Oct 2, 2007 | Feb 14, 2007 |
| Independent wealth |
| Feb 14, 2007 |
| May 10, 2011 |
| no |
| WOODLAND HILLS, CA |
| Previous registration |
| L•• F•••••••• I••• | Former SEC adviser | Sep 29, 2004 | Oct 2, 2007 | no | LOS ANGELES, CA | Previous registration |
| L••••• W••• C•••••• M••••••••• I••• | n/a | Jul 7, 2004 | Sep 30, 2004 | no | LOS ANGELES, CA | Previous registration |
| -230 |
| Firm change after gap |
| Other |
| L••••• W••• C•••••• M••••••••• I••• | L•• F•••••••• I••• | Sep 30, 2004 | Sep 29, 2004 | -1 | Firm change | Other |