DFX Intelligence
Reading the graph
Reading the graph
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Advisor at P•••••• W••••• M••••••••• L••
HERCULES, 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 |
|---|---|---|---|---|---|---|
| P•••••• W••••• M••••••••• L•• | State registered | Sep 12, 2022 | n/a | yes | HERCULES, CA | Current employment |
| S•••••••• W••••• M••••••••• | Independent wealth | Jan 10, 2014 | Mar 21, 2022 | no | PASADENA, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| S•••••••• W••••• M••••••••• | P•••••• W••••• M••••••••• L•• | Mar 21, 2022 | Sep 12, 2022 | 175 | Firm change | RIA to state RIA |
| W•••••••• P•••••••• L•• | S•••••••• W••••• M••••••••• | Sep 26, 2013 | Jan 10, 2014 |
| W•••••••• P•••••••• L•• | Independent wealth | Nov 9, 2011 | Sep 26, 2013 | no | LOS ANGELES, CA | Previous registration |
| W•••••••• A•••• M••••••••• I•• | Former SEC adviser | Jan 20, 2010 | Dec 5, 2011 | no | LOS ANGELES, CA | Previous registration |
| C•••••• S••••• • C••• I••• | National bd RIA | Feb 25, 2004 | Jun 21, 2006 | no | LOS ANGELES, CA|Los Angeles, CA | Previous registration |
| 106 |
| Firm change |
| Other |
| W•••••••• A•••• M••••••••• I•• | W•••••••• P•••••••• L•• | Dec 5, 2011 | Nov 9, 2011 | -26 | Firm change | Other |
| C•••••• S••••• • C••• I••• | W•••••••• A•••• M••••••••• I•• | Jun 21, 2006 | Jan 20, 2010 | 1,309 | Firm change after gap | Other |