DFX Intelligence
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Reading the graph
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Advisor at F•••• F•••••••• M••••••••• L•
LOMBARD, IL | THOUSAND OAKS, 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 |
|---|---|---|---|---|---|---|
| F•••• F•••••••• M••••••••• L• | Independent wealth | Oct 23, 2018 | n/a | yes | THOUSAND OAKS, CA|LOMBARD, IL | Current employment |
| L•••• F•••••••• G••••• I••• | Former SEC adviser | Jun 20, 2008 | Apr 2, 2019 | no | THOUSAND OAKS, CA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| L•••• F•••••••• G••••• I••• | F•••• F•••••••• M••••••••• L• | Apr 2, 2019 | Oct 23, 2018 | -161 | Firm change after gap | RIA to RIA |
| G••• C•••• S••••••••• I••• | L•••• F•••••••• G••••• I••• | Nov 13, 2009 | Jun 20, 2008 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 146421:145706:CA:2019-04-02 | Apr 2, 2019 | Oct 23, 2018 | THOUSAND OAKS, CA | Firm change after gap |
| G••• C•••• S••••••••• I••• | Former SEC adviser | Jan 23, 2003 | Nov 13, 2009 | no | THOUSAND OAKS, CA|THOUSAND OAKS, CA|THOUSAND OAKS, CA | Previous registration |
| -511 |
| Firm change after gap |
| Other |