DFX Intelligence
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Reading the graph
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Advisor at S•••••••• A••••••• L••
ALHAMBRA, 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 |
|---|---|---|---|---|---|---|
| S•••••••• A••••••• L•• | National bd RIA | Mar 31, 2025 | n/a | yes | ALHAMBRA, CA | Current employment |
| F••••••• P••••••• A•• W•••••••• A••••••• | Former SEC adviser | Jul 13, 2018 | Mar 31, 2025 | no | BOSTON, MA|ALHAMBRA, CA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| F••••••• P••••••• A•• W•••••••• A••••••• | S•••••••• A••••••• L•• | Mar 31, 2025 | Mar 31, 2025 | 0 | Bulk transfer | Ibd to ibd |
| S•••••••• A••••••• L•• | F••••••• P••••••• A•• W•••••••• A••••••• | Jul 13, 2018 | Jul 13, 2018 |
| S•••••••• A••••••• L•• | National bd RIA | Nov 21, 2011 | Jul 13, 2018 | no | PASADENA, CA|SALT LAKE CITY, UT|ALHAMBRA, CA | Previous registration |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Wirehouse | Apr 26, 2011 | Oct 10, 2011 | no | BEVERLY HILLS, CA | Previous registration |
| 0 |
| Bulk transfer |
| Ibd to new firm |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | S•••••••• A••••••• L•• | Oct 10, 2011 | Nov 21, 2011 | 42 | Firm change | Wirehouse to ibd |