DFX Intelligence
Reading the graph
Reading the graph
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Advisor at O•• C•••••• M••••••••• L••
WESTLAKE VILLAGE, 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 |
|---|---|---|---|---|---|---|
| O•• C•••••• M••••••••• L•• | Independent wealth | Jan 21, 2004 | n/a | yes | WESTLAKE VILLAGE, CA | Current employment |
| C•••••• F•••••••• M••••••••• I••• | Former SEC adviser | Sep 7, 2004 | Oct 28, 2005 | no | DENVER, CO | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| C•••••• F•••••••• M••••••••• I••• | n/a | Oct 28, 2005 | n/a | n/a | Departure no registered destination | Departure |
| O••••••••• A•••• M••••••••• | O•• C•••••• M••••••••• L•• | Feb 4, 2004 | Jan 21, 2004 | -14 |
| O••••••••• A•••• M••••••••• | Bd affiliated wealth | Apr 15, 2003 | Feb 4, 2004 | no | NEW YORK, NY | Previous registration |
| O••••••••• • C•• I••• | Bd affiliated wealth | Jan 3, 2003 | Apr 15, 2003 | no | LOS ANGELES, CA | Previous registration |
| C••• W•••• M•••••• C•••• | n/a | Apr 19, 2002 | Jan 3, 2003 | no | LOS ANGELES, CA | Previous registration |
| Firm change |
| Other |
| O••••••••• • C•• I••• | O••••••••• A•••• M••••••••• | Apr 15, 2003 | Apr 15, 2003 | 0 | Bulk transfer | Other |
| C••• W•••• M•••••• C•••• | O••••••••• • C•• I••• | Jan 3, 2003 | Jan 3, 2003 | 0 | Bulk transfer | Other |