DFX Intelligence
Reading the graph
Reading the graph
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Advisor at P••• F•••••••• A•••••••• 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 |
|---|---|---|---|---|---|---|
| P••• F•••••••• A•••••••• L•• | Independent wealth | Aug 4, 2021 | n/a | yes | SAN DIEGO, CA | Current employment |
| S••••••• P•••••• W••••• | Former SEC adviser | Oct 26, 2020 | Jul 20, 2021 | no | LOS ANGELES, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| S••••••• P•••••• W••••• | P••• F•••••••• A•••••••• L•• | Jul 20, 2021 | Aug 4, 2021 | 15 | Firm change | RIA to RIA |
| 1•• G••••• A••••••• I•• | S••••••• P•••••• W••••• | Jun 26, 2018 | Oct 26, 2020 |
| 1•• G••••• A••••••• I•• | Former SEC adviser | Sep 4, 2012 | Jun 26, 2018 | no | GALVESTON, TX|NEW ORLEANS, LA | Previous registration |
| C••••••••• F•••••••• N•••••• | National bd RIA | Oct 8, 2004 | Sep 7, 2012 | no | BONSALL, CA|TEMECULA, CA | Previous registration |
| 1•• G••••• A••••••• I•• | Former SEC adviser | Jul 31, 1998 | Oct 26, 2004 | no | FALLBROOK, CA | Previous registration |
| 853 |
| Firm change after gap |
| Ibd to RIA |
| C••••••••• F•••••••• N•••••• | 1•• G••••• A••••••• I•• | Sep 7, 2012 | Sep 4, 2012 | -3 | Firm change | Other |
| 1•• G••••• A••••••• I•• | C••••••••• F•••••••• N•••••• | Oct 26, 2004 | Oct 8, 2004 | -18 | Firm change | Other |