DFX Intelligence
Reading the graph
Reading the graph
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Advisor at M••••••••• C••••••• L••
NEWPORT BEACH, 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 |
|---|---|---|---|---|---|---|
| M••••••••• C••••••• L•• | Independent wealth | Jan 3, 2024 | n/a | yes | NEWPORT BEACH, CA | Current employment |
| B••• G••••• • C••••••• I••• | Independent wealth | Oct 15, 2019 | Feb 17, 2023 | no | ORANGE, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| B••• G••••• • C••••••• I••• | M••••••••• C••••••• L•• | Feb 17, 2023 | Jan 3, 2024 | 320 | Firm change | RIA to RIA |
| Q•••• C•••••• S••••••••• I••• | B••• G••••• • C••••••• I••• | Oct 8, 2019 | Oct 15, 2019 |
| Q•••• C•••••• S••••••••• I••• | Former SEC adviser | Jul 5, 2018 | Oct 8, 2019 | no | YORBA LINDA, CA|LAGUNA HILLS, CA|LAGUNA HILLS, CA | Previous registration |
| L•• F•••••••• L•• | Bd affiliated wealth | Oct 13, 2009 | Nov 9, 2016 | no | WHITTIER, CA|LOS ANGELES, CA|WHITTIER, CA | Previous registration |
| W••• I••••••••• I••• | n/a | Feb 23, 2006 | Dec 4, 2008 | no | WHITTIER, CA|WHITTIER, CA | Previous registration |
| 7 |
| Firm change |
| RIA to RIA |
| L•• F•••••••• L•• | Q•••• C•••••• S••••••••• I••• | Nov 9, 2016 | Jul 5, 2018 | 603 | Firm change after gap | Other |
| W••• I••••••••• I••• | L•• F•••••••• L•• | Dec 4, 2008 | Oct 13, 2009 | 313 | Firm change | Other |