DFX Intelligence
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Reading the graph
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Advisor at U••• B•••••• A•••••••• L••
Irvine, 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 |
|---|---|---|---|---|---|---|
| U••• B•••••• A•••••••• L•• | Bd affiliated wealth | Sep 18, 2026 | n/a | yes | Irvine, CA | Current employment |
| L•• F•••••••• L•• | Bd affiliated wealth | Jul 19, 2023 | Sep 9, 2026 | no | NEWPORT BEACH, CA|LA JOLLA, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| L•• F•••••••• L•• | U••• B•••••• A•••••••• L•• | Sep 9, 2026 | Sep 18, 2026 | 9 | Firm change | Ibd to ibd |
| B••••••• I••••••••• S•••••••• I••• ••••• | L•• F•••••••• L•• | Jul 19, 2023 | Jul 19, 2023 |
| B••••••• I••••••••• S•••••••• I••• ••••• | Former SEC adviser | Jan 22, 2019 | Jul 19, 2023 | no | NEWPORT BEACH, CA|SAN DIEGO, CA|La Jolla, CA|La Jolla, CA|OMAHA, NE | Previous registration |
| W•••• F•••• A••••••• | Wirehouse | Jan 3, 2011 | Jan 22, 2019 | no | IRVINE, CA|IRVINE, CA|ESCONDIDO, CA|CHARLOTTE, NC|IRVINE, CA|IRVINE, CA | Previous registration |
| W•••• F•••• I••••••••• L•• | n/a | Sep 25, 2008 | Jan 3, 2011 | no | IRVINE, CA|COSTA MESA, CA | Previous registration |
| 0 |
| Bulk transfer |
| Ibd to ibd |
| W•••• F•••• A••••••• | B••••••• I••••••••• S•••••••• I••• ••••• | Jan 22, 2019 | Jan 22, 2019 | 0 | Firm change | Wirehouse to ibd |
| W•••• F•••• I••••••••• L•• | W•••• F•••• A••••••• | Jan 3, 2011 | Jan 3, 2011 | 0 | Bulk transfer | Other |