DFX Intelligence
Reading the graph
Reading the graph
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Advisor at O•••• A••••••• S•••••••• 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 |
|---|---|---|---|---|---|---|
| O•••• A••••••• S•••••••• L•• | Bd affiliated wealth | Nov 8, 2024 | n/a | yes | Hermosa Beach, CA | Current employment |
| O•••• W•••••• I••• | Bd affiliated wealth | Jun 14, 2024 | n/a | yes | Hermosa Beach, CA|Fort Worth , TX | Current employment |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| A•••• P•••• A••••••• | O•••• W•••••• I••• | Nov 8, 2024 | Jun 14, 2024 | -147 | Channel change | Ibd to ibd |
| S••••••••• A•••••• A•••••••• I••• | A•••• P•••• A••••••• | Jun 14, 2024 | Apr 25, 2016 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 165127:23131:CA:2024-11-08 | Nov 8, 2024 | Jun 14, 2024 | TORRANCE, CA | Firm change after gap |
| 110518:165127:CA:2024-06-14 | Jun 14, 2024 | Apr 25, 2016 | TORRANCE, CA | Firm change after gap |
| 160322:110518:CA:2016-04-26 | Apr 26, 2016 | Apr 25, 2016 | LOS ANGELES, CA | Firm change |
| A•••• P•••• A••••••• | Former SEC adviser | Apr 25, 2016 | Nov 8, 2024 | no | Westlake Village, CA|TORRANCE, CA|TORRANCE, CA | Previous registration |
| S••••••••• A•••••• A•••••••• I••• | Former SEC adviser | Apr 25, 2016 | Jun 14, 2024 | no | Westlake Village, CA|TORRANCE, CA|TORRANCE, CA | Previous registration |
| A••••••• F•••••••• N•••••• A••••••• S•••••••• L•• | Former SEC adviser | May 20, 2013 | Apr 26, 2016 | no | LOS ANGELES, CA | Previous registration |
| S••••••••• A•••••• A•••••••• I••• | Former SEC adviser | Oct 12, 2010 | Sep 23, 2014 | no | CALABASAS, CA | Previous registration |
| E••••• J•••• | National bd RIA | Sep 7, 2007 | Oct 2, 2007 | no | ST LOUIS, MO | Previous registration |
| -2,972 |
| Channel change |
| Other |
| A••••••• F•••••••• N•••••• A••••••• S•••••••• L•• | S••••••••• A•••••• A•••••••• I••• | Apr 26, 2016 | Apr 25, 2016 | -1 | Firm change | Other |
| S••••••••• A•••••• A•••••••• I••• | A••••••• F•••••••• N•••••• A••••••• S•••••••• L•• | Sep 23, 2014 | May 20, 2013 | -491 | Firm change after gap | Other |
| E••••• J•••• | S••••••••• A•••••• A•••••••• I••• | Oct 2, 2007 | Oct 12, 2010 | 1,106 | Firm change after gap | Other |