DFX Intelligence
Reading the graph
Reading the graph
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Advisor at T•••• U••••••• L••
••• Locked
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 |
|---|---|---|---|---|---|---|
| N•••••••• | No RAUM reported | Apr 8, 2024 | n/a | yes | Aliso Viejo, CA|SAN DIEGO, CA | Current employment |
| T•••• U••••••• L•• | State registered | Jan 1, 2023 | n/a | yes | ALISO VIEJO, CA|ALISO VIEJO, CA | Current employment |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| O••••• I••••••••• A••••••• L•• | T•••• U••••••• L•• | Jun 1, 2022 | Jan 1, 2023 | 214 | Firm change | RIA to state RIA |
| M•• | O••••• I••••••••• A••••••• L•• | Jul 30, 2016 | Jan 12, 2022 |
| Independent wealth |
| Jan 12, 2022 |
| Jun 1, 2022 |
| no |
| MIAMI BEACH, FL|SARASOTA, FL |
| Previous registration |
| M•• | Former SEC adviser | Mar 10, 2014 | Jul 30, 2016 | no | LA JOLLA, CA | Previous registration |
| S•••••••• A••••••• L•• | National bd RIA | Sep 14, 2010 | Apr 1, 2014 | no | TORRANCE, CA|SANTA MONICA, CA | Previous registration |
| S••••••• I••••••••• I••• | Former SEC adviser | Nov 30, 1999 | Dec 31, 2002 | no | IRVINE, CA | Previous registration |
| 1,992 |
| Firm change after gap |
| Other |
| S•••••••• A••••••• L•• | M•• | Apr 1, 2014 | Mar 10, 2014 | -22 | Firm change | Ibd to new firm |
| S••••••• I••••••••• I••• | S•••••••• A••••••• L•• | Dec 31, 2002 | Sep 14, 2010 | 2,814 | Firm change after gap | Other |