DFX Intelligence
Data Factory
Reading the graph
Reading the graph
Advisor at MIRAMONTES CAPITAL, LLC
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.
| Firm | Class | Began | Ended | Current | Branch | Basis |
|---|---|---|---|---|---|---|
| MIRAMONTES CAPITAL, LLC | Independent wealth | Jan 2, 2026 | n/a | yes | NEWPORT BEACH, CA | Current employment |
| WEALTH MANAGEMENT SOLUTIONS, LLC | Former SEC adviser | May 20, 2021 | Nov 6, 2023 | no | NEWPORT BEACH, CA | Previous registration |
| FINANCIAL ADVOCATES INVESTMENT MANAGEMENT | Former SEC adviser | Nov 14, 2017 | Aug 27, 2021 | no | NEWPORT BEACH, CA|OLYMPIA, WA|Torrance, CA|Pasedena, CA | Previous registration |
| PENCE WEALTH MANAGEMENT, INC. | n/a | May 8, 2008 | Nov 1, 2016 | no | NEWPORT BEACH, CA | Previous registration |
| LPL FINANCIAL LLC | Bd affiliated wealth | Sep 7, 2007 | Mar 2, 2018 | no | TORRANCE, CA|TORRANCE, CA|NEWPORT BEACH, CA|TORRANCE, CA|NEWPORT BEACH, CA|TORRANCE, CA|NEWPORT BEACH, CA|TORRANCE, CA|PASADENA, CA|NEWPORT BEACH, CA | Previous registration |
| MUTUAL SERVICE CORPORATION | n/a | Jun 30, 2001 | Sep 14, 2007 | no | RANCHO SANTA MARGARITA, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| WEALTH MANAGEMENT SOLUTIONS, LLC | MIRAMONTES CAPITAL, LLC | Nov 6, 2023 | Jan 2, 2026 | 788 | Firm change after gap | RIA to RIA |
| FINANCIAL ADVOCATES INVESTMENT MANAGEMENT | WEALTH MANAGEMENT SOLUTIONS, LLC | Aug 27, 2021 | May 20, 2021 | -99 | Firm change after gap | RIA to RIA |
| LPL FINANCIAL LLC | PENCE WEALTH MANAGEMENT, INC. | Mar 2, 2018 | May 8, 2008 | -3,585 | Firm change after gap | Other |
| PENCE WEALTH MANAGEMENT, INC. | FINANCIAL ADVOCATES INVESTMENT MANAGEMENT | Nov 1, 2016 | Nov 14, 2017 | 378 | Firm change | Other |
| MUTUAL SERVICE CORPORATION | LPL FINANCIAL LLC | Sep 14, 2007 | Sep 7, 2007 | -7 | Firm change | Other |