DFX Intelligence
Reading the graph
Reading the graph
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Advisor at R•••• W••••• A•••••••
PASADENA, 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 |
|---|---|---|---|---|---|---|
| R•••• W••••• A••••••• | State registered | Mar 6, 2026 | n/a | yes | PASADENA, CA | Current employment |
| C••••••• S••• I••••••••• C••••••••• | Independent wealth | May 8, 2020 | Mar 6, 2026 | no | PASADENA, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| C••••••• S••• I••••••••• C••••••••• | R•••• W••••• A••••••• | Mar 6, 2026 | Mar 6, 2026 | 0 | Firm change | RIA to state RIA |
| A••••••••• F•••••••• S•••••••• L•• | C••••••• S••• I••••••••• C••••••••• | Feb 20, 2020 | May 8, 2020 |
| A••••••••• F•••••••• S•••••••• L•• | National bd RIA | May 1, 2014 | Feb 20, 2020 | no | Glendale, CA | Previous registration |
| L•• F•••••••• L•• | Bd affiliated wealth | Feb 25, 2008 | May 1, 2008 | no | SOUTH PASADENA, CA|SAN DIEGO, CA|SOUTH PASADENA, CA | Previous registration |
| A••••••••• F•••••••• S•••••••• L•• | National bd RIA | May 31, 2004 | Mar 3, 2008 | no | Los Angeles, CA|LONG BEACH, CA|LOS ANGELES, CA | Previous registration |
| 78 |
| Firm change |
| Ibd to RIA |
| L•• F•••••••• L•• | A••••••••• F•••••••• S•••••••• L•• | May 1, 2008 | May 1, 2014 | 2,191 | Firm change after gap | Other |
| A••••••••• F•••••••• S•••••••• L•• | L•• F•••••••• L•• | Mar 3, 2008 | Feb 25, 2008 | -7 | Firm change | Other |