DFX Intelligence
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Reading the graph
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Advisor at S••• F•••••••• S••••••• L••
Montecito, 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 |
|---|---|---|---|---|---|---|
| S••• F•••••••• S••••••• L•• | Former SEC adviser | Jan 1, 2026 | n/a | yes | Montecito, CA | Current employment |
| S••• A•••• M••••••••• L•• | Former SEC adviser | Feb 9, 2015 | Dec 31, 2015 | no | MONTECITO, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| S••• F•••••••• S••••••• L•• | S••• A•••• M••••••••• L•• | Dec 31, 2017 | Feb 9, 2015 | -1,056 | Firm change after gap | Other |
| S••• C•••••• L•• | S••• F•••••••• S••••••• L•• | Dec 31, 2015 | Jan 1, 2026 |
| S••• C•••••• L•• | Former SEC adviser | Feb 9, 2015 | Dec 31, 2015 | no | MONTECITO, CA | Previous registration |
| S••• A•••• M••••••••• L•• | Former SEC adviser | Feb 8, 2013 | Dec 31, 2014 | no | HENDERSON, NV | Previous registration |
| S••• F•••••••• S••••••• L•• | Former SEC adviser | Feb 8, 2013 | Dec 31, 2017 | no | HENDERSON, NV | Previous registration |
| S••• C•••••• L•• | Former SEC adviser | Feb 8, 2013 | Dec 31, 2014 | no | HENDERSON, NV | Previous registration |
| S••• F•••••••• S••••••• L•• | Former SEC adviser | Feb 21, 2012 | Dec 31, 2012 | no | LOS OLIVOS, CA | Previous registration |
| S••• A•••• M••••••••• L•• | Former SEC adviser | Mar 10, 2008 | Dec 31, 2010 | no | LOS OLIVOS, CA | Previous registration |
| S••• F•••••••• S••••••• L•• | Former SEC adviser | Jan 26, 2007 | Dec 31, 2010 | no | LOS OLIVOS, CA | Previous registration |
| S••• C•••••• L•• | Former SEC adviser | Jan 4, 2007 | Dec 31, 2010 | no | LOS OLIVOS, CA | Previous registration |
| S••• C•••••• L•• | Former SEC adviser | Oct 14, 2003 | Dec 31, 2006 | no | SANTA MONCIA, CA | Previous registration |
| 3,654 |
| Firm change after gap |
| Other |
| S••• A•••• M••••••••• L•• | S••• C•••••• L•• | Dec 31, 2015 | Feb 9, 2015 | -325 | Firm change after gap | Other |
| S••• C•••••• L•• | S••• A•••• M••••••••• L•• | Dec 31, 2014 | Feb 8, 2013 | -691 | Firm change after gap | Other |
| S••• A•••• M••••••••• L•• | S••• F•••••••• S••••••• L•• | Dec 31, 2014 | Feb 8, 2013 | -691 | Firm change after gap | Other |
| S••• F•••••••• S••••••• L•• | S••• C•••••• L•• | Dec 31, 2012 | Feb 8, 2013 | 39 | Firm change | Other |
| S••• A•••• M••••••••• L•• | S••• F•••••••• S••••••• L•• | Dec 31, 2010 | Feb 21, 2012 | 417 | Firm change after gap | Other |
| S••• C•••••• L•• | S••• F•••••••• S••••••• L•• | Dec 31, 2010 | Jan 26, 2007 | -1,435 | Firm change after gap | Other |
| S••• F•••••••• S••••••• L•• | S••• A•••• M••••••••• L•• | Dec 31, 2010 | Mar 10, 2008 | -1,026 | Firm change after gap | Other |