DFX Intelligence
Reading the graph
Reading the graph
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Advisor at M•••••••• W••• A•••• M••••••••• L••
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 |
|---|---|---|---|---|---|---|
| M•••••••• W••• A•••• M••••••••• L•• | Independent wealth | Sep 5, 2021 | n/a | yes | LOS ANGELES, CA | Current employment |
| P•••••••• | Independent wealth | Nov 3, 2016 | Sep 24, 2018 | no | LOS ANGELES, CA|ENGLEWOOD, NJ | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| P•••••••• | M•••••••• W••• A•••• M••••••••• L•• | Sep 24, 2018 | Sep 5, 2021 | 1,077 | Firm change after gap | RIA to RIA |
| C••••••••• W••••• A•••••••• L•• | P•••••••• | Oct 31, 2016 | Nov 3, 2016 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 143719:151736:CA:2016-10-31 | Oct 31, 2016 | Nov 3, 2016 | LOS ANGELES, CA | Firm change |
| C••••••••• W••••• A•••••••• L•• | Former SEC adviser | Jan 8, 2015 | Oct 31, 2016 | no | LOS ANGELES, CA | Previous registration |
| C••••••••• W••••• A•••••••• L•• | Former SEC adviser | Aug 14, 2014 | Dec 31, 2014 | no | LOS ANGELES, CA | Previous registration |
| 3 |
| Firm change |
| Other |