DFX Intelligence
Reading the graph
Reading the graph
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Advisor at U•• F•••••••• S••••••• I•••
IRVINE, 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 |
|---|---|---|---|---|---|---|
| U•• F•••••••• S••••••• I••• | Wirehouse | Feb 28, 2025 | n/a | yes | IRVINE, CA | Current employment |
| S•••••••• F•••••••• G••••• L•• | Former SEC adviser | May 18, 2020 | Apr 6, 2022 | no | M••••••VILLE, IN|Newport Beach, CA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| S•••••••• F•••••••• G••••• L•• | U•• F•••••••• S••••••• I••• | Apr 6, 2022 | Feb 28, 2025 | 1,059 | Firm change after gap | RIA to wirehouse |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | S•••••••• F•••••••• G••••• L•• | Jun 1, 2020 | May 18, 2020 |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Wirehouse | May 4, 2016 | Jun 1, 2020 | no | NEWPORT BEACH, CA|NEWPORT BEACH, CA|NEW YORK, NY|TACOMA, WA | Previous registration |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Wirehouse | Nov 7, 2008 | Jan 6, 2014 | no | WILMINGTON, DE|NEWPORT BEACH, CA | Previous registration |
| N•••••••• B••••• B• L•• | No RAUM reported | May 11, 2006 | Nov 18, 2008 | no | NEWPORT BEACH, CA|NEW YORK, NY|NEWPORT BEACH, CA | Previous registration |
| -14 |
| Firm change |
| Wirehouse to RIA |
| N•••••••• B••••• B• L•• | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Nov 18, 2008 | Nov 7, 2008 | -11 | Firm change | Other |