DFX Intelligence
Reading the graph
Reading the graph
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Advisor at L••••••• W••••• A••••••• I•••
BREA, 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 |
|---|---|---|---|---|---|---|
| L••••••• W••••• A••••••• I••• | State registered | Aug 15, 2023 | n/a | yes | BREA, CA | Current employment |
| T••••••• C•••••• M••••••••• I••• | Mixed wealth | Mar 16, 2021 | Aug 22, 2023 | no | LAGUNA HILLS, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| T••••••• C•••••• M••••••••• I••• | L••••••• W••••• A••••••• I••• | Aug 22, 2023 | Aug 15, 2023 | -7 | Firm change | RIA to state RIA |
| C••••••• P••••••• | T••••••• C•••••• M••••••••• I••• | Mar 2, 2021 | Mar 16, 2021 |
| C••••••• P••••••• | Independent wealth | Jul 25, 2017 | Mar 2, 2021 | no | IRVINE, CA|OVERLAND PARK, KS | Previous registration |
| W••••••••• A••••••• | Former SEC adviser | Sep 21, 2016 | Jul 3, 2017 | no | Madison, WI | Previous registration |
| C••• B•••••••• S•••••••• I••• | Former SEC adviser | Apr 1, 2016 | Sep 28, 2016 | no | MADISON, WI|MADISON, WI|LAKE MILLS, WI | Previous registration |
| C••• B•••••••• S•••••••• I••• | Former SEC adviser | Jul 3, 2008 | Feb 4, 2016 | no | MISSION VIEJO, CA|HUNTINGTON BEACH, CA|COSTA MESA, CA|FOUNTAIN VALLEY, CA | Previous registration |
| M••••• S•••••• • C•• L•• | n/a | Jul 30, 2007 | Feb 20, 2008 | no | SANTA ANA, CA | Previous registration |
| 14 |
| Firm change |
| RIA to RIA |
| W••••••••• A••••••• | C••••••• P••••••• | Jul 3, 2017 | Jul 25, 2017 | 22 | Firm change | Other |
| C••• B•••••••• S•••••••• I••• | W••••••••• A••••••• | Sep 28, 2016 | Sep 21, 2016 | -7 | Firm change | Other |
| M••••• S•••••• • C•• L•• | C••• B•••••••• S•••••••• I••• | Feb 20, 2008 | Jul 3, 2008 | 134 | Firm change | Other |