DFX Intelligence
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Reading the graph
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Advisor at S••••• I••••••••• S•••••••
SANTA BARBARA, 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 |
|---|---|---|---|---|---|---|
| S••••• I••••••••• S••••••• | State registered | Sep 25, 2024 | n/a | yes | SANTA BARBARA, CA | Current employment |
| W••••• I••••••••• | State registered | Jan 4, 2023 | Oct 22, 2024 | no | LA SELVA, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| W••••• I••••••••• | S••••• I••••••••• S••••••• | Oct 22, 2024 | Sep 25, 2024 | -27 | Firm change | Other |
| C•••••• S•••••• P••••••• | W••••• I••••••••• | Dec 31, 2022 | Jan 4, 2023 |
| C•••••• S•••••• P••••••• |
| Former SEC adviser |
| Jan 21, 2014 |
| Dec 31, 2022 |
| no |
| IRVINE, CA|SANTA BARBARA, CA |
| Previous registration |
| W•••• F•••• A••••••• | Wirehouse | Jan 3, 2011 | Oct 19, 2012 | no | SAN LUIS OBISPO, CA | Previous registration |
| W•••• F•••• I••••••••• L•• | n/a | Dec 12, 2007 | Jan 3, 2011 | no | SANTA BARBARA, CA|GOLETA, CA | Previous registration |
| Firm change |
| RIA to state RIA |
| W•••• F•••• A••••••• | C•••••• S•••••• P••••••• | Oct 19, 2012 | Jan 21, 2014 | 459 | Firm change after gap | Wirehouse to RIA |
| W•••• F•••• I••••••••• L•• | W•••• F•••• A••••••• | Jan 3, 2011 | Jan 3, 2011 | 0 | Bulk transfer | Other |