DFX Intelligence
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Reading the graph
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Advisor at C••••••••• A•••••••
Westlake Village, CA | SARASOTA, FL
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••••••••• A••••••• | Independent wealth | Sep 23, 2025 | n/a | yes | SARASOTA, FL|Westlake Village, CA | Current employment |
| H•••••• • W•••• A•••• M••••••••• I••• | Bd affiliated wealth | Nov 4, 2020 | Jan 2, 2025 | no | Agoura Hills, CA|PARSIPPANY, NJ |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| H•••••• • W•••• A•••• M••••••••• I••• | C••••••••• A••••••• | Jan 2, 2025 | Sep 23, 2025 | 264 | Firm change | Ibd to RIA |
| P••••••• A••••••• L•• | H•••••• • W•••• A•••• M••••••••• I••• | Jul 18, 2019 | Nov 4, 2020 |
| P••••••• A••••••• L•• | Asset manager | Aug 8, 2014 | Jul 18, 2019 | no | THOUSAND OAKS, CA|BETHESDA, MD|AGOURA HILLS, CA | Previous registration |
| F•••• T•••• A••••••• L• | Asset manager | Oct 12, 2011 | Feb 26, 2014 | no | WHEATON, IL | Previous registration |
| D•••• A• N•••• • C•••••• | Former SEC adviser | Jul 12, 2000 | Jan 4, 2010 | no | CHICAGO, IL|MIAMI, FL|CHICAGO, IL | Previous registration |
| 475 |
| Firm change after gap |
| Other |
| F•••• T•••• A••••••• L• | P••••••• A••••••• L•• | Feb 26, 2014 | Aug 8, 2014 | 163 | Firm change | Other |
| D•••• A• N•••• • C•••••• | F•••• T•••• A••••••• L• | Jan 4, 2010 | Oct 12, 2011 | 646 | Firm change after gap | Other |