DFX Intelligence
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Reading the graph
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Advisor at M••••• S••••••
San Diego, 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 |
|---|---|---|---|---|---|---|
| M••••• S•••••• | Wirehouse | Oct 31, 2025 | n/a | yes | San Diego, CA | Current employment |
| C••••• C•••••• P•••••••• L•• | Independent wealth | Jul 21, 2022 | Mar 27, 2023 | no | SAN DIEGO, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| C••••• C•••••• P•••••••• L•• | M••••• S•••••• | Mar 27, 2023 | Oct 31, 2025 | 949 | Firm change after gap | RIA to wirehouse |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | C••••• C•••••• P•••••••• L•• | Jul 12, 2022 | Jul 21, 2022 |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• |
| Wirehouse |
| Jul 24, 2018 |
| Jul 12, 2022 |
| no |
| SAN FRANCISCO, CA|SAN DIEGO, CA|SAN DIEGO, CA |
| Previous registration |
| U••• B•••••• A•••••••• L•• | Bd affiliated wealth | Apr 5, 2017 | Jul 25, 2018 | no | San Francisco, CA | Previous registration |
| L•• F•••••••• L•• | Bd affiliated wealth | Jun 22, 2016 | Apr 26, 2017 | no | SAN FRANCISCO, CA | Previous registration |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Wirehouse | Apr 8, 2008 | Apr 29, 2013 | no | NEW YORK, NY|SAN FRANCISCO, CA|NEW YORK, NY | Previous registration |
| 9 |
| Firm change |
| Wirehouse to RIA |
| U••• B•••••• A•••••••• L•• | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Jul 25, 2018 | Jul 24, 2018 | -1 | Firm change | Ibd to wirehouse |
| L•• F•••••••• L•• | U••• B•••••• A•••••••• L•• | Apr 26, 2017 | Apr 5, 2017 | -21 | Firm change | Other |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | L•• F•••••••• L•• | Apr 29, 2013 | Jun 22, 2016 | 1,150 | Firm change after gap | Other |