DFX Intelligence
Reading the graph
Reading the graph
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Advisor at O•••• A••••••• S•••••••• L••
Newport Beach, CA | ATLANTA, GA
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 |
|---|---|---|---|---|---|---|
| O•••• A••••••• S•••••••• L•• | Bd affiliated wealth | Aug 13, 2021 | n/a | yes | Newport Beach, CA|ATLANTA, GA | Current employment |
| M••••• G••••• A••••••• I••• | Independent wealth | Nov 27, 2017 | Sep 24, 2021 | no | Newport Beach, CA|Newport Beach, CA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| M••••• G••••• A••••••• I••• | O•••• A••••••• S•••••••• L•• | Sep 24, 2021 | Aug 13, 2021 | -42 | Firm change after gap | RIA to ibd |
| A••••••• W••••• M••••••••• L•• | M••••• G••••• A••••••• I••• | Aug 5, 2015 | Nov 27, 2017 |
| A••••••• W••••• M••••••••• L•• | Independent wealth | Feb 11, 2013 | Aug 5, 2015 | no | ATLANTA, GA|ATLANTA, GA | Previous registration |
| C••••• I••••••••• A•••••••• L•• | Former SEC adviser | Jan 4, 2013 | Feb 14, 2013 | no | CHARLOTTE, NC | Previous registration |
| T••••••••• F•••••••• A•••••••• L•• | Bd affiliated wealth | May 14, 2012 | Nov 29, 2012 | no | Alpharetta, GA | Previous registration |
| 845 |
| Firm change after gap |
| Other |
| C••••• I••••••••• A•••••••• L•• | A••••••• W••••• M••••••••• L•• | Feb 14, 2013 | Feb 11, 2013 | -3 | Firm change | Other |
| T••••••••• F•••••••• A•••••••• L•• | C••••• I••••••••• A•••••••• L•• | Nov 29, 2012 | Jan 4, 2013 | 36 | Firm change | Other |