DFX Intelligence
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Reading the graph
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Advisor at C•••••• C••••• G••••• I•••
••• Locked
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•••••• C••••• G••••• I••• | No RAUM reported | Apr 26, 2018 | n/a | yes | LOS ANGELES, CA|Redondo Beach, CA|Los Angeles, CA | Current employment |
| N••••• A•••• M••••••••• L•• | Mixed wealth | Sep 1, 2011 | Apr 11, 2018 | no | CHICAGO, IL |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| N••••• A•••• M••••••••• L•• | C•••••• C••••• G••••• I••• | Apr 11, 2018 | Apr 26, 2018 | 15 | Firm change | Other |
| N••••• F••• A•••••••• L•• | N••••• A•••• M••••••••• L•• | Sep 1, 2011 | Sep 1, 2011 |
| N••••• F••• A•••••••• L•• | Asset manager | Aug 6, 2001 | Sep 1, 2011 | no | IRVINE, CA | Previous registration |
| R••••••••• A•••• M••••••••• I••• | n/a | Aug 3, 2001 | Dec 31, 2003 | no | IRVINE, CA | Previous registration |
| 0 |
| Bulk transfer |
| Other |
| R••••••••• A•••• M••••••••• I••• | N••••• F••• A•••••••• L•• | Dec 31, 2003 | Aug 6, 2001 | -877 | Firm change after gap | Other |