DFX Intelligence
Reading the graph
Reading the graph
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Advisor at C••••••• A•••• M••••••••• L••
San Diego, CA | ANN ARBOR, MI
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•••• M••••••••• L•• | Bd affiliated wealth | Aug 2, 2018 | n/a | yes | San Diego, CA|ANN ARBOR, MI | Current employment |
| F•••••••• D•••••• L••• | n/a | Jun 23, 2011 | Jul 30, 2014 | no | SAN DIEGO, CA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| I••••••••• F•••••••• G••••• L•• | F•••••••• D•••••• L••• | Jul 31, 2018 | Jun 23, 2011 | -2,595 | Firm change after gap | Other |
| F•••••••• D•••••• L••• | C••••••• A•••• M••••••••• L•• | Jul 30, 2014 | Aug 2, 2018 |
| I••••••••• F•••••••• G••••• L•• | Bd affiliated wealth | May 24, 2011 | Jul 31, 2018 | no | SAN DIEGO, CA | Previous registration |
| E••••• C••••••• L•• | Former SEC adviser | Feb 21, 2007 | Feb 2, 2011 | no | SAN DIEGO, CA | Previous registration |
| R•• F•••••••• N••••••• L••••• | n/a | Apr 22, 2004 | Feb 22, 2006 | no | OMAHA, NE | Previous registration |
| R•••••• J• L•••• C••••••••• I••• | n/a | Feb 18, 2003 | Feb 26, 2007 | no | SAN DIEGO, CA | Previous registration |
| M•• F•••••••• S•••••••• I••• | Former SEC adviser | Dec 11, 2001 | Jan 16, 2003 | no | SAN DIEGO, CA | Previous registration |
| 1,464 |
| Firm change after gap |
| Other |
| E••••• C••••••• L•• | I••••••••• F•••••••• G••••• L•• | Feb 2, 2011 | May 24, 2011 | 111 | Firm change | Other |
| R•••••• J• L•••• C••••••••• I••• | R•• F•••••••• N••••••• L••••• | Feb 26, 2007 | Apr 22, 2004 | -1,040 | Firm change after gap | Other |
| R•• F•••••••• N••••••• L••••• | E••••• C••••••• L•• | Feb 22, 2006 | Feb 21, 2007 | 364 | Firm change | Other |
| M•• F•••••••• S•••••••• I••• | R•••••• J• L•••• C••••••••• I••• | Jan 16, 2003 | Feb 18, 2003 | 33 | Firm change | Other |