DFX Intelligence
Reading the graph
Reading the graph
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Advisor at M•••••• I•••••••••
San Diego, 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 |
|---|---|---|---|---|---|---|
| M•••••• I••••••••• | I•••••••••_WEALTH | Mar 1, 2022 | n/a | yes | San Diego, CA | Current employment |
| A••••••••• L•• | Former SEC adviser | Mar 1, 2019 | Mar 30, 2022 | no | SAN DIEGO, CA|San Diego, CA|SAN DIEGO, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| A••••••••• L•• | M•••••• I••••••••• | Mar 30, 2022 | Mar 1, 2022 | -29 | Bulk transfer | RIA to RIA |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | A••••••••• L•• | Oct 30, 2006 | Mar 1, 2019 |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Wirehouse | Jul 15, 2004 | Oct 30, 2006 | no | LA JOLLA, CA|LA JOLLA, CA | Previous registration |
| C•••••• C•••••• M••••••••• G••••• I••• | Former SEC adviser | Mar 2, 2004 | Sep 30, 2004 | no | SAN DIEGO, CA | Previous registration |
| 4,505 |
| Firm change after gap |
| Wirehouse to RIA |
| C•••••• C•••••• M••••••••• G••••• I••• | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Sep 30, 2004 | Jul 15, 2004 | -77 | Firm change after gap | Other |