DFX Intelligence
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Reading the graph
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Advisor at R• C••• I•••
NEWPORT BEACH, 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 |
|---|---|---|---|---|---|---|
| R• C••• I••• | Independent wealth | Dec 11, 2025 | n/a | yes | NEWPORT BEACH, CA | Current employment |
| G•••••••• G••••• A••••••• L•• | Former SEC adviser | Mar 9, 2016 | May 27, 2016 | no | LEHI, UT | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| G•••••••• G••••• A••••••• L•• | R• C••• I••• | May 27, 2016 | Dec 11, 2025 | 3,485 | Firm change after gap | Other |
| L•• F•••••••• I••• | G•••••••• G••••• A••••••• L•• | Feb 5, 2007 | Mar 9, 2016 |
| L•• F•••••••• I••• | Former SEC adviser | Sep 29, 2004 | Feb 5, 2007 | no | LOS ANGELES, CA | Previous registration |
| L••••• W••• C•••••• M••••••••• I••• | n/a | Oct 25, 2002 | Sep 30, 2004 | no | LOS ANGELES, CA | Previous registration |
| 3,320 |
| Firm change after gap |
| Other |
| L••••• W••• C•••••• M••••••••• I••• | L•• F•••••••• I••• | Sep 30, 2004 | Sep 29, 2004 | -1 | Firm change | Other |