DFX Intelligence
Reading the graph
Reading the graph
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Advisor at E••••••••• C•••••• A•••••••
LAGUNA HILLS, 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 |
|---|---|---|---|---|---|---|
| E••••••••• C•••••• A••••••• | Former SEC adviser | Jan 10, 2024 | n/a | yes | LAGUNA HILLS, CA | Current employment |
| L•• F•••••••• L•• | Bd affiliated wealth | May 28, 2021 | Apr 1, 2024 | no | LAGUNA HILLS, CA|SAN DIEGO, CA|Irvine, CA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| L•• F•••••••• L•• | E••••••••• C•••••• A••••••• | Apr 1, 2024 | Jan 10, 2024 | -82 | Firm change after gap | Ibd to new firm |
| N•• A••••••• S••••••• I•• | L•• F•••••••• L•• | Jun 29, 2021 | May 28, 2021 |
| O•••• W•••••• I••• | Bd affiliated wealth | Nov 11, 2019 | Jun 2, 2021 | no | LAGUNA HILLS, CA|SCOTTSDALE, AZ|IRVINE, CA | Previous registration |
| N•• A••••••• S••••••• I•• | Independent wealth | Dec 12, 2017 | Jun 29, 2021 | no | Capistrano Beach, CA|LOS ANGELES, CA | Previous registration |
| E••••• J•••• | National bd RIA | Mar 10, 2014 | Dec 7, 2017 | no | DANA POINT, CA|ST LOUIS, MO|ALISO VIEJO, CA|LAGUNA BEACH, CA | Previous registration |
| -32 |
| Firm change after gap |
| RIA to ibd |
| O•••• W•••••• I••• | L•• F•••••••• L•• | Jun 2, 2021 | May 28, 2021 | -5 | Firm change | Ibd to ibd |
| E••••• J•••• | N•• A••••••• S••••••• I•• | Dec 7, 2017 | Dec 12, 2017 | 5 | Firm change | Other |