DFX Intelligence
Reading the graph
Reading the graph
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Advisor at D•••••• W••••• M•••••••••
IRVINE, 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 |
|---|---|---|---|---|---|---|
| D•••••• W••••• M••••••••• | State registered | Dec 19, 2022 | n/a | yes | IRVINE, CA | Current employment |
| M••••• C•••••• A•••••••• L•• | Independent wealth | Jan 21, 2022 | Mar 21, 2024 | no | Rancho Cucamonga, CA|RALEIGH, NC |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| M••••• C•••••• A•••••••• L•• | D•••••• W••••• M••••••••• | Mar 21, 2024 | Dec 19, 2022 | -458 | Firm change after gap | RIA to state RIA |
| L•• F•••••••• L•• | M••••• C•••••• A•••••••• L•• | Jun 23, 2015 | Jul 10, 2015 |
| M••••• C•••••• A•••••••• L•• | Independent wealth | Jul 10, 2015 | Dec 31, 2021 | no | RANCHO CUCAMONGA, CA|RALEIGH, NC | Previous registration |
| L•• F•••••••• L•• | Bd affiliated wealth | Sep 3, 2004 | Jun 23, 2015 | no | ONTARIO, CA | Previous registration |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Wirehouse | Feb 18, 2000 | Sep 14, 2004 | no | ONTARIO, CA | Previous registration |
| 17 |
| Firm change |
| Other |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | L•• F•••••••• L•• | Sep 14, 2004 | Sep 3, 2004 | -11 | Firm change | Other |