DFX Intelligence
Reading the graph
Reading the graph
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Advisor at I••••••••• P••••••• L••
CHARLOTTE, NC | Westlake, 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 |
|---|---|---|---|---|---|---|
| I••••••••• P••••••• L•• | Independent wealth | May 16, 2025 | n/a | yes | CHARLOTTE, NC|Westlake, CA | Current employment |
| W•••••• I••••••••• S••••••••• | Former SEC adviser | Apr 2, 2012 | May 14, 2025 | no | Westlake Village, CA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| W•••••• I••••••••• S••••••••• | I••••••••• P••••••• L•• | May 14, 2025 | May 16, 2025 | 2 | Firm change | Other |
| C•••• I••••••••• S••••••• C•••• | W•••••• I••••••••• S••••••••• | Apr 3, 2012 | Apr 2, 2012 |
| C•••• I••••••••• S••••••• C•••• | Former SEC adviser | May 2, 2009 | Apr 3, 2012 | no | WESTLAKE VILLAGE, CA|SIMI VALLEY, CA|WESTLAKE VILLAGE, CA | Previous registration |
| W••• I••••••••• I••• | n/a | Feb 23, 2006 | May 2, 2009 | no | WESTLAKE VILLAGE, CA|SIMI VALLEY, CA|WESTLAKE VILLAGE, CA | Previous registration |
| -1 |
| Firm change |
| Other |
| W••• I••••••••• I••• | C•••• I••••••••• S••••••• C•••• | May 2, 2009 | May 2, 2009 | 0 | Bulk transfer | Other |