DFX Intelligence
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Reading the graph
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Advisor at S••••• A•••••••• L••
Pasadena, CA | SAN DIEGO, 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 |
|---|---|---|---|---|---|---|
| S••••• A•••••••• L•• | Independent wealth | Feb 23, 2024 | n/a | yes | SAN DIEGO, CA|Pasadena, CA | Current employment |
| M•• I•••••••• S•••••••• L•• | Bd affiliated wealth | Mar 25, 2017 | Mar 6, 2024 | no | PASADENA, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| M•• I•••••••• S•••••••• L•• | S••••• A•••••••• L•• | Mar 6, 2024 | Feb 23, 2024 | -12 | Bulk transfer | Ibd to new firm |
| M•• F•••••••• S•••••••• I••• | M•• I•••••••• S•••••••• L•• | Mar 25, 2017 | Mar 25, 2017 |
| M•• F•••••••• S•••••••• I••• | Former SEC adviser | Jan 2, 2015 | Mar 25, 2017 | no | PASADENA, CA | Previous registration |
| N•• E•••••• S••••••••• C••••••••• | Former SEC adviser | May 12, 2010 | Jan 2, 2015 | no | PASADENA, CA|WOODLAND HILLS, CA | Previous registration |
| E•••••••• A•••••••• L•• | National bd RIA | May 21, 2007 | Apr 30, 2010 | no | SAN DIEGO, CA|WOODLAND HILLS, CA | Previous registration |
| 0 |
| Bulk transfer |
| Other |
| N•• E•••••• S••••••••• C••••••••• | M•• F•••••••• S•••••••• I••• | Jan 2, 2015 | Jan 2, 2015 | 0 | Bulk transfer | Other |
| E•••••••• A•••••••• L•• | N•• E•••••• S••••••••• C••••••••• | Apr 30, 2010 | May 12, 2010 | 12 | Firm change | Other |