DFX Intelligence
Reading the graph
Reading the graph
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Advisor at S•• M•••• M•••••••
ATASCADERO, 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 |
|---|---|---|---|---|---|---|
| S•• M•••• M••••••• | Independent wealth | Aug 6, 2024 | n/a | yes | ATASCADERO, CA | Current employment |
| M•••• M•••••••• I••• | Former SEC adviser | Apr 7, 2015 | Oct 21, 2024 | no | ATASCADERO, CA|LAS VEGAS, NV | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| M•••• M•••••••• I••• | S•• M•••• M••••••• | Oct 21, 2024 | Aug 6, 2024 | -76 | Firm change after gap | RIA to new firm |
| G••••• W••••• M••••••••• G••••• I••• | M•••• M•••••••• I••• | May 15, 2015 | Apr 7, 2015 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 151602:331617:NV:2024-10-21 | Oct 21, 2024 | Aug 6, 2024 | LAS VEGAS, NV | Firm change after gap |
| G••••• W••••• M••••••••• G••••• I••• | Former SEC adviser | Mar 7, 2012 | May 15, 2015 | no | TEMPLETON, CA | Previous registration |
| L•• F•••••••• L•• | Bd affiliated wealth | Feb 26, 2008 | Mar 27, 2013 | no | ATASCADERO, CA|TEMPLETON, CA|COSTA MESA, CA|ATASCADERO, CA | Previous registration |
| -38 |
| Firm change after gap |
| Other |
| L•• F•••••••• L•• | G••••• W••••• M••••••••• G••••• I••• | Mar 27, 2013 | Mar 7, 2012 | -385 | Firm change after gap | Other |