DFX Intelligence
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Reading the graph
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Advisor at M••••••
Newport Beach, 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 |
|---|---|---|---|---|---|---|
| M•••••• | Bd affiliated wealth | Apr 1, 2025 | n/a | yes | Newport Beach, CA | Current employment |
| M•••••• I••••••••• | I•••••••••_WEALTH | Mar 1, 2022 | Apr 2, 2025 | no | Newport Beach, CA|Newport Beach, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| M•••••• I••••••••• | M•••••• | Apr 2, 2025 | Apr 1, 2025 | -1 | Firm change | RIA to ibd |
| C••••••••• W•••••• L•• | M•••••• I••••••••• | Feb 28, 2022 | Mar 1, 2022 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 305418:140195:CA:2025-04-02 | Apr 2, 2025 | Apr 1, 2025 | NEWPORT BEACH, CA | Firm change |
| 143483:305418:CA:2022-02-28 | Feb 28, 2022 | Mar 1, 2022 | LOS ANGELES, CA | Firm change |
| C••••••••• W•••••• L•• | I•••••••••_WEALTH | Dec 27, 2018 | Feb 28, 2022 | no | NEWPORT BEACH, CA|LOS ANGELES, CA | Previous registration |
| P••• C••••••• I••• | Former SEC adviser | May 22, 2015 | Jun 3, 2019 | no | NEWPORT BEACH, CA | Previous registration |
| R•• R•••••••• L•• | Bd affiliated wealth | Apr 20, 2011 | Mar 10, 2014 | no | NEW YORK, NY | Previous registration |
| F••••••••• P•••••••• L•• | n/a | Oct 12, 2010 | Apr 12, 2011 | no | SAN FRANCISCO, CA | Previous registration |
| F••••• I••••••••• | I•••••••••_WEALTH | Mar 17, 2008 | Feb 9, 2009 | no | SAN MATEO, CA|PLANO, TX | Previous registration |
| Firm change |
| RIA to RIA |
| P••• C••••••• I••• | C••••••••• W•••••• L•• | Jun 3, 2019 | Dec 27, 2018 | -158 | Firm change after gap | RIA to RIA |
| R•• R•••••••• L•• | P••• C••••••• I••• | Mar 10, 2014 | May 22, 2015 | 438 | Firm change after gap | Other |
| F••••••••• P•••••••• L•• | R•• R•••••••• L•• | Apr 12, 2011 | Apr 20, 2011 | 8 | Firm change | Other |
| F••••• I••••••••• | F••••••••• P•••••••• L•• | Feb 9, 2009 | Oct 12, 2010 | 610 | Firm change after gap | Other |