DFX Intelligence
Reading the graph
Reading the graph
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Advisor at S•••••••• A••••••• L••
DANA POINT, CA | 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 |
|---|---|---|---|---|---|---|
| S•••••••• A••••••• L•• | National bd RIA | Mar 31, 2025 | n/a | yes | DANA POINT, CA|IRVINE, CA | Current employment |
| F••••••• P••••••• A•• W•••••••• A••••••• | Former SEC adviser | Jul 13, 2018 | Mar 31, 2025 | no | BOSTON, MA|DANA POINT, CA|IRVINE, CA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| F••••••• P••••••• A•• W•••••••• A••••••• | S•••••••• A••••••• L•• | Mar 31, 2025 | Mar 31, 2025 | 0 | Bulk transfer | Ibd to ibd |
| S•••••••• A••••••• L•• | F••••••• P••••••• A•• W•••••••• A••••••• | Jul 13, 2018 | Jul 13, 2018 |
| S•••••••• A••••••• L•• | National bd RIA | Jan 18, 2008 | Jul 13, 2018 | no | IRVINE, CA | Previous registration |
| T• A••••••••• I••••••••• M••••••••• L•• | Former SEC adviser | Apr 25, 2006 | Jul 3, 2007 | no | LAGUNA HILLS, CA | Previous registration |
| T• A••••••••• I••• | Former SEC adviser | Sep 11, 2003 | Jul 3, 2007 | no | GLENDALE, CA|MISSION VIEJO, CA | Previous registration |
| 0 |
| Bulk transfer |
| Ibd to new firm |
| T• A••••••••• I••••••••• M••••••••• L•• | S•••••••• A••••••• L•• | Jul 3, 2007 | Jan 18, 2008 | 199 | Firm change | Other |
| T• A••••••••• I••• | T• A••••••••• I••••••••• M••••••••• L•• | Jul 3, 2007 | Apr 25, 2006 | -434 | Channel change | Other |