DFX Intelligence
Reading the graph
Reading the graph
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Advisor at W••••••••• R••••••••• A•••••••
ALISO VIEJO, CA | Atlanta, GA
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 |
|---|---|---|---|---|---|---|
| W••••••••• R••••••••• A••••••• | Institutional manager | May 29, 2025 | n/a | yes | Atlanta, GA|ALISO VIEJO, CA | Current employment |
| P••• F•••••••• A•••••••• L•• | Independent wealth | Feb 21, 2024 | Sep 25, 2024 | no | SAN DIEGO, CA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| P••• F•••••••• A•••••••• L•• | W••••••••• R••••••••• A••••••• | Sep 25, 2024 | May 29, 2025 | 246 | Firm change | Other |
| C••••••• P••••••• | P••• F•••••••• A•••••••• L•• | Jul 20, 2023 | Feb 21, 2024 |
| C••••••• P••••••• | Independent wealth | Oct 18, 2022 | Jul 20, 2023 | no | Irvine, CA|OVERLAND PARK, KS|Irvine, CA | Previous registration |
| E•••••• A••••••• G••••• L•• | Bd affiliated wealth | Apr 4, 2022 | Oct 21, 2022 | no | Rancho Cucamonga, CA|GREENWOOD VILLAGE, CO | Previous registration |
| T• A••••••••• I••••••••• M••••••••• L•• | Former SEC adviser | Oct 23, 2017 | Dec 31, 2020 | no | Rancho Cucamonga, CA | Previous registration |
| T• A••••••••• I••• | Former SEC adviser | Oct 23, 2017 | Jan 11, 2021 | no | Upland, CA | Previous registration |
| C•••••• S••••• • C••• I••• | National bd RIA | Apr 21, 2016 | Oct 23, 2017 | no | Phoenix, AZ|Brea, CA|Brea, CA | Previous registration |
| 216 |
| Firm change |
| RIA to RIA |
| E•••••• A••••••• G••••• L•• | C••••••• P••••••• | Oct 21, 2022 | Oct 18, 2022 | -3 | Firm change | Ibd to RIA |
| T• A••••••••• I••• | E•••••• A••••••• G••••• L•• | Jan 11, 2021 | Apr 4, 2022 | 448 | Firm change after gap | Other |
| T• A••••••••• I••••••••• M••••••••• L•• | T• A••••••••• I••• | Dec 31, 2020 | Oct 23, 2017 | -1,165 | Bulk transfer | Other |
| C•••••• S••••• • C••• I••• | T• A••••••••• I••••••••• M••••••••• L•• | Oct 23, 2017 | Oct 23, 2017 | 0 | Firm change | Other |