DFX Intelligence
Reading the graph
Reading the graph
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Advisor at C••••• 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 |
|---|---|---|---|---|---|---|
| C••••• M•••••• | Independent wealth | Jul 22, 2025 | n/a | yes | IRVINE, CA | Current employment |
| W•••••• I••••••••• S••••••••• | Former SEC adviser | Dec 4, 2017 | Jun 23, 2025 | no | Woodland Hills, CA|Newport Beach, CA|PASADENA, CA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| W•••••• I••••••••• S••••••••• | C••••• M•••••• | Jun 23, 2025 | Jul 22, 2025 | 29 | Firm change | Ibd to RIA |
| A••••••••• F•••••••• S•••••••• L•• | W•••••• I••••••••• S••••••••• | Dec 8, 2017 | Dec 4, 2017 |
| A••••••••• F•••••••• S•••••••• L•• | National bd RIA | Apr 16, 2010 | Dec 8, 2017 | no | WOODLAND HILLS, CA | Previous registration |
| M••••• S•••••• | Wirehouse | Jun 1, 2009 | Apr 19, 2010 | no | VALENCIA, CA | Previous registration |
| M••••• S•••••• • C•• L•• | n/a | Apr 2, 2007 | Jun 1, 2009 | no | VALENCIA, CA | Previous registration |
| M••••• S•••••• D• I••• | n/a | Apr 13, 2006 | Apr 2, 2007 | no | VALENCIA, CA | Previous registration |
| C•••••••• G••••• M•••••• I••• | Bd affiliated wealth | Jul 8, 1997 | Apr 24, 2006 | no | GLENDALE, CA|GLENDALE, CA | Previous registration |
| -4 |
| Firm change |
| Other |
| M••••• S•••••• | A••••••••• F•••••••• S•••••••• L•• | Apr 19, 2010 | Apr 16, 2010 | -3 | Firm change | Wirehouse to ibd |
| M••••• S•••••• • C•• L•• | M••••• S•••••• | Jun 1, 2009 | Jun 1, 2009 | 0 | Bulk transfer | Other |
| M••••• S•••••• D• I••• | M••••• S•••••• • C•• L•• | Apr 2, 2007 | Apr 2, 2007 | 0 | Bulk transfer | Other |
| C•••••••• G••••• M•••••• I••• | M••••• S•••••• D• I••• | Apr 24, 2006 | Apr 13, 2006 | -11 | Firm change | Other |