DFX Intelligence
Reading the graph
Reading the graph
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Advisor at L••••••••• F•••••••• S••••••• I••
BREA, 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 |
|---|---|---|---|---|---|---|
| L••••••••• F•••••••• S••••••• I•• | Independent wealth | Jan 26, 2021 | n/a | yes | BREA, CA | Current employment |
| T• A••••••••• I••••••••• M••••••••• L•• | Former SEC adviser | Dec 17, 2018 | Dec 31, 2020 | no | Murrieta, CA|RANCHO CUCAMONGA, CA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| T• A••••••••• I••• | L••••••••• F•••••••• S••••••• I•• | Jan 11, 2021 | Jan 26, 2021 | 15 | Firm change | Other |
| T• A••••••••• I••••••••• M••••••••• L•• | T• A••••••••• I••• | Dec 31, 2020 | Dec 17, 2018 |
| T• A••••••••• I••• | Former SEC adviser | Dec 17, 2018 | Jan 11, 2021 | no | MURRIETA, CA|Upland, CA | Previous registration |
| F••••••• P••••••• A•• W•••••••• A••••••• | Former SEC adviser | Jul 13, 2018 | Dec 18, 2018 | no | BOSTON, MA | Previous registration |
| S•••••••• A••••••• L•• | National bd RIA | Jul 5, 2016 | Jul 13, 2018 | no | PALM DESERT, CA | Previous registration |
| T• A••••••••• I••••••••• M••••••••• L•• | Former SEC adviser | Jun 30, 2011 | Apr 26, 2016 | no | RANCHO CUCAMONGA, CA|INDIAN WELLS, CA|RANCHO CUCAMONGA, CA | Previous registration |
| T• A••••••••• I••• | Former SEC adviser | Jun 30, 2011 | Apr 26, 2016 | no | Upland, CA|Indian Wells, CA|Upland, CA | Previous registration |
| -745 |
| Bulk transfer |
| Other |
| F••••••• P••••••• A•• W•••••••• A••••••• | T• A••••••••• I••••••••• M••••••••• L•• | Dec 18, 2018 | Dec 17, 2018 | -1 | Firm change | Ibd to RIA |
| S•••••••• A••••••• L•• | F••••••• P••••••• A•• W•••••••• A••••••• | Jul 13, 2018 | Jul 13, 2018 | 0 | Bulk transfer | Ibd to new firm |
| T• A••••••••• I••••••••• M••••••••• L•• | T• A••••••••• I••• | Apr 26, 2016 | Jun 30, 2011 | -1,762 | Channel change | Other |
| T• A••••••••• I••• | S•••••••• A••••••• L•• | Apr 26, 2016 | Jul 5, 2016 | 70 | Firm change | Other |