DFX Intelligence
Reading the graph
Reading the graph
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Advisor at A•• F•••••••• A•••••••• L••
TUSTIN, CA | ROCKLEDGE, FL
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 |
|---|---|---|---|---|---|---|
| A•• F•••••••• A•••••••• L•• | Independent wealth | Jul 21, 2025 | n/a | yes | ROCKLEDGE, FL|TUSTIN, CA | Current employment |
| N••• F•••••••• G••••• I••• | Former SEC adviser | Sep 5, 2007 | Jul 15, 2025 | no | IRVINE, CA|NEW BRAUNFELS, TX|NEWPORT BEACH, CA|HOUSTON, TX |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| N••• F•••••••• G••••• I••• | A•• F•••••••• A•••••••• L•• | Jul 15, 2025 | Jul 21, 2025 | 6 | Firm change | Ibd to RIA |
| S•• C•••••• A••••••• L•• | N••• F•••••••• G••••• I••• | Nov 8, 2005 | Sep 5, 2007 |
| S•• C•••••• A••••••• L•• | Institutional manager | Sep 27, 2005 | Nov 8, 2005 | no | HUNTINGTON BEACH, CA | Previous registration |
| 1••• C•••••• M••••••••• C•••••• | n/a | Jun 19, 2003 | Jun 9, 2004 | no | EDISON, NJ | Previous registration |
| 666 |
| Firm change after gap |
| Other |
| 1••• C•••••• M••••••••• C•••••• | S•• C•••••• A••••••• L•• | Jun 9, 2004 | Sep 27, 2005 | 475 | Firm change after gap | Other |