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Reading the graph
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Advisor at W••••••••• R••••••••• A•••••••
ALISO VIEJO, 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 |
|---|---|---|---|---|---|---|
| W••••••••• R••••••••• A••••••• | Institutional manager | May 29, 2013 | n/a | yes | ALISO VIEJO, CA | Current employment |
| F•••••••• T••••••• I••• | Former SEC adviser | Mar 2, 2010 | Jul 22, 2014 | no | ALISO VIEJO, CA|SAN RAFAEL, CA|IRVINE, CA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| F•••••••• T••••••• I••• | W••••••••• R••••••••• A••••••• | Jul 22, 2014 | May 29, 2013 | -419 | Firm change after gap | Other |
| N•• A•••••••• I••• | F•••••••• T••••••• I••• | Mar 1, 2010 | Mar 2, 2010 |
| N•• A•••••••• I••• | n/a | Dec 18, 2007 | Mar 1, 2010 | no | IRVINE, CA|COSTA MESA, CA | Previous registration |
| C••••••• • C••• I••• | Former SEC adviser | Sep 13, 2006 | Dec 20, 2007 | no | MALDEN, MA|COSTA MESA, CA | Previous registration |
| M•• S••••••••• L•• | Former SEC adviser | May 3, 2002 | Sep 26, 2006 | no | NEWPORT BEACH, CA | Previous registration |
| 1 |
| Firm change |
| Other |
| C••••••• • C••• I••• | N•• A•••••••• I••• | Dec 20, 2007 | Dec 18, 2007 | -2 | Firm change | Other |
| M•• S••••••••• L•• | C••••••• • C••• I••• | Sep 26, 2006 | Sep 13, 2006 | -13 | Firm change | Other |