DFX Intelligence
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Reading the graph
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Advisor at S•••••••• A••••••• L••
SEAL BEACH, CA | LOS ANGELES, 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 | LOS ANGELES, CA|SEAL BEACH, CA | Current employment |
| F••••••• P••••••• A•• W•••••••• A••••••• | Former SEC adviser | Mar 10, 2023 | Mar 31, 2025 | no | PASADENA, 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 |
| M••••• S•••••• | F••••••• P••••••• A•• W•••••••• A••••••• | Feb 16, 2023 | Mar 10, 2023 |
| M••••• S•••••• | Wirehouse | Apr 30, 2019 | Feb 16, 2023 | no | Pasadena, CA | Previous registration |
| E••••• J•••• | National bd RIA | Jan 20, 2017 | Jun 2, 2017 | no | Los Angeles, CA|ST LOUIS, MO|Los Angeles, CA|LOS ANGELES, CA | Previous registration |
| 22 |
| Firm change |
| Wirehouse to ibd |
| E••••• J•••• | M••••• S•••••• | Jun 2, 2017 | Apr 30, 2019 | 697 | Firm change after gap | Ibd to wirehouse |