DFX Intelligence
Reading the graph
Reading the graph
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Advisor at A•••••••• C•••••• L••
LA JOLLA, CA | Lincoln, 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 |
|---|---|---|---|---|---|---|
| A•••••••• C•••••• L•• | Independent wealth | Sep 28, 2020 | n/a | yes | Lincoln, CA|LA JOLLA, CA | Current employment |
| A••••••• A•••••••• L•• | Former SEC adviser | Jul 11, 2019 | Sep 4, 2020 | no | Rocklin, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| A••••••• A•••••••• L•• | A•••••••• C•••••• L•• | Sep 4, 2020 | Sep 28, 2020 | 24 | Firm change | Other |
| F••••••• P••••••• A•• W•••••••• A••••••• | A••••••• A•••••••• L•• | Jul 10, 2019 | Jul 11, 2019 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 154003:174346:CA:2020-09-04 | Sep 4, 2020 | Sep 28, 2020 | ROCKLIN, CA | Firm change |
| F••••••• P••••••• A•• W•••••••• A••••••• | Former SEC adviser | Jul 13, 2018 | Jul 10, 2019 | no | BOSTON, MA | Previous registration |
| S•••••••• A••••••• L•• | National bd RIA | Jun 2, 2017 | Jul 13, 2018 | no | ROSEVILLE, CA | Previous registration |
| 1 |
| Firm change |
| Other |
| S•••••••• A••••••• L•• | F••••••• P••••••• A•• W•••••••• A••••••• | Jul 13, 2018 | Jul 13, 2018 | 0 | Bulk transfer | Ibd to new firm |