DFX Intelligence
Reading the graph
Reading the graph
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Advisor at M••••• I•••••••••
AGOURA HILLS, 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••••• I••••••••• | State registered | Jan 2, 2026 | n/a | yes | AGOURA HILLS, CA | Current employment |
| P•••••• P•••••••• O• S•• D•••• | Former SEC adviser | Jun 13, 2011 | Nov 29, 2013 | no | AGOURA HILLS, CA|LA JOLLA, CA|LA JOLLA, CA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| P•••••• P•••••••• O• S•• D•••• | M••••• I••••••••• | Nov 29, 2013 | Jan 2, 2026 | 4,417 | Firm change after gap | Other |
| N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• | P•••••• P•••••••• O• S•• D•••• | Jul 12, 2011 | Jun 13, 2011 |
| N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• | Former SEC adviser | Feb 8, 2010 | Jul 12, 2011 | no | HUNTINGTON BEACH, CA|LOS ANGELES, CA | Previous registration |
| M••••• S•••••• • C•• L•• | n/a | May 1, 2007 | Sep 24, 2007 | no | NEW YORK, NY | Previous registration |
| -29 |
| Firm change |
| Other |
| M••••• S•••••• • C•• L•• | N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• | Sep 24, 2007 | Feb 8, 2010 | 868 | Firm change after gap | Other |