DFX Intelligence
Reading the graph
Reading the graph
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Advisor at C•••••••• I••••••••• R••••••• A•••••••• I•••
San Diego, 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 |
|---|---|---|---|---|---|---|
| C•••••••• I••••••••• R••••••• A•••••••• I••• | Bd affiliated wealth | Dec 19, 2025 | n/a | yes | San Diego, CA | Current employment |
| E•••••• E••••• L•• | Bd affiliated wealth | Dec 1, 2025 | Dec 8, 2025 | no | Irvine, CA|San Diego, CA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| E•••••• E••••• L•• | C•••••••• I••••••••• R••••••• A•••••••• I••• | Dec 8, 2025 | Dec 19, 2025 | 11 | Firm change | Ibd to ibd |
| D•••••• L••• S••••• L•• | E•••••• E••••• L•• | Dec 5, 2025 | Dec 1, 2025 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 152665:127701:MN:2015-02-24 | Apr 6, 2015 | Apr 27, 2015 | ARDEN HILLS, MN | Firm change |
| D•••••• L••• S••••• L•• | Former SEC adviser | Oct 15, 2019 | Dec 5, 2025 | no | ROME, GA|SAN DIEGO, CA|ROME, GA|CALHOUN, GA | Previous registration |
| C••••• S••••• A•••••••• I••• | Former SEC adviser | Nov 14, 2017 | Oct 11, 2019 | no | San Diego, CA|NASHVILLE, TN | Previous registration |
| G••••••• W••••• M••••••••• | Bd affiliated wealth | Apr 27, 2015 | Nov 6, 2017 | no | ARDEN HILLS, MN|SAN DIEGO, CA|ARDEN HILLS, MN | Previous registration |
| G••••••• A•••••••• L•• | Independent wealth | Apr 2, 2012 | Apr 6, 2015 | no | SAN DIEGO, CA|ARDEN HILLS, MN | Previous registration |
| I••••••• F•••••••• S••••••• | n/a | Nov 24, 2009 | Apr 12, 2012 | no | SAN DIEGO, CA|OAKLAND, CA|OAKLAND, CA | Previous registration |
| L•• F•••••••• L•• | Bd affiliated wealth | Dec 31, 1997 | Nov 17, 2009 | no | SAN DIEGO, CA|SAN DIEGO, CA|LAGUNA HILLS, CA | Previous registration |
| -4 |
| Firm change |
| RIA to ibd |
| C••••• S••••• A•••••••• I••• | D•••••• L••• S••••• L•• | Oct 11, 2019 | Oct 15, 2019 | 4 | Firm change | RIA to RIA |
| G••••••• W••••• M••••••••• | C••••• S••••• A•••••••• I••• | Nov 6, 2017 | Nov 14, 2017 | 8 | Firm change | Other |
| G••••••• A•••••••• L•• | G••••••• W••••• M••••••••• | Apr 6, 2015 | Apr 27, 2015 | 21 | Firm change | Other |
| I••••••• F•••••••• S••••••• | G••••••• A•••••••• L•• | Apr 12, 2012 | Apr 2, 2012 | -10 | Firm change | Other |
| L•• F•••••••• L•• | I••••••• F•••••••• S••••••• | Nov 17, 2009 | Nov 24, 2009 | 7 | Firm change | Other |