DFX Intelligence
Reading the graph
Reading the graph
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Advisor at O••••• A••••••• L••
••• Locked
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••••••• L•• | No RAUM reported | Dec 18, 2023 | n/a | yes | PASADENA, CA | Current employment |
| W•••••• S••••••••• I••• | Bd affiliated wealth | Oct 30, 2023 | n/a | yes | Weatogue, CT|Pasadena, CA|Jupiter, FL|NEWPORT BEACH, CA|NEW YORK, NY |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| A••••••••• F•••••••• S•••••••• L•• | W•••••• S••••••••• I••• | Jul 7, 2022 | Oct 30, 2023 | 480 | Firm change after gap | Ibd to ibd |
| U••• B•••••• I••••••••• I••• | A••••••••• F•••••••• S•••••••• L•• | Mar 16, 2016 | Mar 17, 2016 |
| A••••••••• F•••••••• S•••••••• L•• | National bd RIA | Mar 17, 2016 | Jul 7, 2022 | no | Minneapolis, MN | Previous registration |
| U••• B•••••• I••••••••• I••• | Former SEC adviser | Aug 5, 2014 | Mar 16, 2016 | no | Saint Paul, MN | Previous registration |
| A••••••••• F•••••••• S•••••••• L•• | National bd RIA | Jun 28, 2011 | Nov 16, 2011 | no | MINNEAPOLIS, MN | Previous registration |
| 1 |
| Firm change |
| Other |
| A••••••••• F•••••••• S•••••••• L•• | U••• B•••••• I••••••••• I••• | Nov 16, 2011 | Aug 5, 2014 | 993 | Firm change after gap | Other |