DFX Intelligence
Reading the graph
Reading the graph
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Advisor at S•••••••• W•••••• L••
Sandia Park, NM | LOS ANGELES, 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•••••••• W•••••• L•• | Independent wealth | Jun 24, 2024 | n/a | yes | Sandia Park, NM|LOS ANGELES, CA | Current employment |
| J••• M••••• S••••••••• L•• | Wirehouse | Sep 8, 2021 | Jun 22, 2024 | no | Albuquerque, NM|Minneapolis, MN|Albuquerque, NM|Albuquerque, NM|Albuquerque, NM|Albuquerque, NM |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| J••• M••••• S••••••••• L•• | S•••••••• W•••••• L•• | Jun 22, 2024 | Jun 24, 2024 | 2 | Firm change | Wirehouse to RIA |
| B••••••• I••••••••• S•••••••• I••• ••••• | J••• M••••• S••••••••• L•• | Jan 23, 2020 | Sep 8, 2021 |
| Previous registration |
| B••••••• I••••••••• S•••••••• I••• ••••• | Former SEC adviser | Jul 20, 2017 | Jan 23, 2020 | no | ALBUQUERQUE, NM | Previous registration |
| A••••• A•• P••••••• S••••••• | Bd affiliated wealth | Jan 2, 2015 | Jun 19, 2017 | no | Albuquerque, NM | Previous registration |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Wirehouse | Aug 16, 2010 | Nov 28, 2014 | no | BEVERLY HILLS, CA|LOS ANGELES, CA|BEVERLY HILLS, CA|LOS ANGELES, CA|BEVERLY HILLS, CA|SANTA MONICA, CA|LOS ANGELES, CA | Previous registration |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Wirehouse | Oct 2, 2008 | Dec 21, 2009 | no | NEWPORT BEACH, CA | Previous registration |
| 594 |
| Firm change after gap |
| Ibd to wirehouse |
| A••••• A•• P••••••• S••••••• | B••••••• I••••••••• S•••••••• I••• ••••• | Jun 19, 2017 | Jul 20, 2017 | 31 | Firm change | Other |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | A••••• A•• P••••••• S••••••• | Nov 28, 2014 | Jan 2, 2015 | 35 | Firm change | Other |