DFX Intelligence
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Reading the graph
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Advisor at C••••••••• W•••••• L••
LOS ANGELES, CA | Red Hook, NY
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 |
|---|---|---|---|---|---|---|
| C••••••••• W•••••• L•• | Independent wealth | Jun 22, 2021 | n/a | yes | Red Hook, NY|LOS ANGELES, CA | Current employment |
| C••••••••• W•••••• L•• | Independent wealth | Jan 12, 2012 | Jul 1, 2016 | no | BEVERLY HILLS, CA|LOS ANGELES, CA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| M••••• S•••••• | C••••••••• W•••••• L•• | Aug 4, 2009 | Aug 10, 2009 | 6 | Firm change | Other |
| M••••• S•••••• • C•• L•• | M••••• S•••••• | Jun 1, 2009 | Jun 1, 2009 |
| C••••••••• W•••••• L•• | Independent wealth | Aug 10, 2009 | Dec 31, 2011 | no | BEVERLY HILLS, CA | Previous registration |
| M••••• S•••••• | Wirehouse | Jun 1, 2009 | Aug 4, 2009 | no | San Francisco, CA | Previous registration |
| M••••• S•••••• • C•• L•• | n/a | Apr 1, 2005 | Jun 1, 2009 | no | SAN FRANCISCO, CA|SAN FRANCISCO, CA | Previous registration |
| M••••• S•••••• D• I••• | n/a | Aug 15, 2001 | Mar 18, 2005 | no | BEVERLY HLS, CA | Previous registration |
| Bulk transfer |
| Other |
| M••••• S•••••• D• I••• | M••••• S•••••• • C•• L•• | Mar 18, 2005 | Apr 1, 2005 | 14 | Firm change | Other |