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CRD 313190
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.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| RICHARD ANDREW SMYTH | Chartered Financial Analyst | NEWPORT BEACH, CA | 0 | 36 | n/a | no |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| SMYTH, RICHARD, ANDREW | MANAGING MEMBER & CHIEF COMPLIANCE OFFICER | E | yes | 06/2021 | Jun 1, 2021 | Nov 22, 2021 |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| MENLO PARK | CA | United States | 1 | no |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 0 | 0 | 0 | 0.0% | 0 | 0 | 0 | 0 | 0 |