DFX Intelligence
Reading the graph
Reading the graph
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Advisor at L•• F•••••••• L••
DIAMOND BAR, 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•••••••• L•• | Bd affiliated wealth | Mar 9, 2026 | n/a | yes | DIAMOND BAR, CA | Current employment |
| O•••• W•••••• I••• | Bd affiliated wealth | Jan 19, 2024 | Mar 18, 2026 | no | DIAMOND BAR, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| O•••• W•••••• I••• | L•• F•••••••• L•• | Mar 18, 2026 | Mar 9, 2026 | -9 | Firm change | Ibd to ibd |
| W••••••• F•••••••• S•••••••• I••• | O•••• W•••••• I••• | Jan 19, 2024 | Jan 19, 2024 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 23131:6413:CA:2026-03-10 | Mar 18, 2026 | Mar 9, 2026 | DIAMOND BAR, CA | Firm change |
| W••••••• F•••••••• S•••••••• I••• | Former SEC adviser | Jun 9, 2017 | Jan 19, 2024 | no | DIAMOND BAR, CA|Diamond Bar, CA|COSTA MESA, CA | Previous registration |
| C•••••••• F••••••••• I••• | Bd affiliated wealth | May 30, 2013 | Jun 12, 2017 | no | IRVINE, CA|CITY OF INDUSTRY, CA | Previous registration |
| W•••••••• P•••••••• L•• | Independent wealth | Nov 9, 2011 | Jul 8, 2013 | no | LOS ANGELES, CA | Previous registration |
| W•••••••• A•••• M••••••••• I•• | Former SEC adviser | Apr 27, 2011 | Dec 5, 2011 | no | LOS ANGELES, CA | Previous registration |
| T• A••••••••• I••••••••• M••••••••• L•• | Former SEC adviser | Feb 2, 2010 | Apr 6, 2011 | no | PASADENA, CA | Previous registration |
| T• A••••••••• I••• | Former SEC adviser | Feb 2, 2010 | Apr 6, 2011 | no | Pasadena, CA | Previous registration |
| S•••••••• A••••••• L•• | National bd RIA | Oct 24, 2005 | Jan 12, 2010 | no | LOS ANGELES, CA|PASADENA, CA | Previous registration |
| F••••••• B•••••••• S••••••• L•• | n/a | Mar 14, 2005 | Feb 17, 2006 | no | LOS ANGELES, CA|PASADENA, CA|PASADENA, CA | Previous registration |
| C•••••••• F••••••••• I••• | Bd affiliated wealth | Oct 28, 2004 | Feb 14, 2005 | no | IRVINE, CA | Previous registration |
| 0 |
| Bulk transfer |
| Ibd to ibd |
| C•••••••• F••••••••• I••• | W••••••• F•••••••• S•••••••• I••• | Jun 12, 2017 | Jun 9, 2017 | -3 | Firm change | Other |
| W•••••••• P•••••••• L•• | C•••••••• F••••••••• I••• | Jul 8, 2013 | May 30, 2013 | -39 | Firm change after gap | Other |
| W•••••••• A•••• M••••••••• I•• | W•••••••• P•••••••• L•• | Dec 5, 2011 | Nov 9, 2011 | -26 | Firm change | Other |
| T• A••••••••• I••••••••• M••••••••• L•• | T• A••••••••• I••• | Apr 6, 2011 | Feb 2, 2010 | -428 | Channel change | Other |
| T• A••••••••• I••• | W•••••••• A•••• M••••••••• I•• | Apr 6, 2011 | Apr 27, 2011 | 21 | Firm change | Other |
| S•••••••• A••••••• L•• | T• A••••••••• I••••••••• M••••••••• L•• | Jan 12, 2010 | Feb 2, 2010 | 21 | Firm change | Other |
| F••••••• B•••••••• S••••••• L•• | S•••••••• A••••••• L•• | Feb 17, 2006 | Oct 24, 2005 | -116 | Firm change after gap | Other |
| C•••••••• F••••••••• I••• | F••••••• B•••••••• S••••••• L•• | Feb 14, 2005 | Mar 14, 2005 | 28 | Firm change | Other |