DFX Intelligence
Reading the graph
Reading the graph
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Advisor at E•••••• F•••••••• E••••••
Anaheim, 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 |
|---|---|---|---|---|---|---|
| E•••••• F•••••••• E•••••• | Independent wealth | Jul 2, 2026 | n/a | yes | Anaheim, CA | Current employment |
| S•••••••• I••••••••• G••••• L•• | Independent wealth | Jun 27, 2024 | Jun 24, 2026 | no | NEWPORT BEACH, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| S•••••••• I••••••••• G••••• L•• | E•••••• F•••••••• E•••••• | Jun 24, 2026 | Jul 2, 2026 | 8 | Firm change | RIA to RIA |
| M••••• S•••••• | S•••••••• I••••••••• G••••• L•• | May 24, 2024 | Jun 27, 2024 |
| M••••• S•••••• | Wirehouse | Sep 5, 2023 | May 24, 2024 | no | Irvine, CA | Previous registration |
| E•••••• C•••••• M••••••••• L•• | Former SEC adviser | May 17, 2021 | Sep 5, 2023 | no | ARLINGTON, VA|SANTA ANA, CA|Irvine, CA | Previous registration |
| T• A••••••••• I••• | Former SEC adviser | Mar 8, 2018 | May 5, 2021 | no | Reno, NV|CORTE MADERA, CA | Previous registration |
| T• A••••••••• I••••••••• M••••••••• L•• | Former SEC adviser | Feb 26, 2018 | May 5, 2021 | no | OMAHA, NE|Reno, NV|CORTE MADERA, CA|Corte Madera, CA | Previous registration |
| S•••••••• I••••••••• M••••••••• | Former SEC adviser | Dec 8, 2016 | Feb 26, 2018 | no | SAINT LOUIS, MO | Previous registration |
| 34 |
| Firm change |
| Wirehouse to RIA |
| E•••••• C•••••• M••••••••• L•• | M••••• S•••••• | Sep 5, 2023 | Sep 5, 2023 | 0 | Bulk transfer | RIA to wirehouse |
| T• A••••••••• I••••••••• M••••••••• L•• | T• A••••••••• I••• | May 5, 2021 | Mar 8, 2018 | -1,154 | Channel change | Other |
| T• A••••••••• I••• | E•••••• C•••••• M••••••••• L•• | May 5, 2021 | May 17, 2021 | 12 | Firm change | Other |
| S•••••••• I••••••••• M••••••••• | T• A••••••••• I••••••••• M••••••••• L•• | Feb 26, 2018 | Feb 26, 2018 | 0 | Bulk transfer | Ibd to RIA |