DFX Intelligence
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Reading the graph
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Advisor at A•••••• W••••• M••••••••• L••
CARLSBAD, CA | PHOENIX, AZ
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•••••• W••••• M••••••••• L•• | Independent wealth | Dec 1, 2023 | n/a | yes | CARLSBAD, CA|PHOENIX, AZ | Current employment |
| P•••••• A••••••••• A••••••• G••••• L•• | Former SEC adviser | Jun 24, 2011 | Sep 5, 2013 | no | PASADENA, CA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| B••••• A••••••• L•• | P•••••• A••••••••• A••••••• G••••• L•• | Dec 6, 2023 | Jun 24, 2011 | -4,548 | Firm change after gap | Other |
| P•••••• A••••••••• A••••••• G••••• L•• | A•••••• W••••• M••••••••• L•• | Sep 5, 2013 | Dec 1, 2023 |
| B••••• A••••••• L•• | Former SEC adviser | Oct 21, 2008 | Dec 6, 2023 | no | PASADENA, CA|PASADENA, CA|Phoenix, AZ | Previous registration |
| P••••••• • A••••••••• I••• | n/a | Mar 21, 2005 | Nov 20, 2008 | no | PASADENA, CA | Previous registration |
| 3,739 |
| Firm change after gap |
| Other |
| P••••••• • A••••••••• I••• | B••••• A••••••• L•• | Nov 20, 2008 | Oct 21, 2008 | -30 | Firm change | Other |