DFX Intelligence
Reading the graph
Reading the graph
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Advisor at O•••• I••••••••• I•••
Clovis, 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 |
|---|---|---|---|---|---|---|
| O•••• I••••••••• I••• | Bd affiliated wealth | Mar 24, 2025 | n/a | yes | Clovis, CA | Current employment |
| C••• F•••••••• S•••••••• L••• | Former SEC adviser | Jul 21, 2020 | Mar 21, 2025 | no | Fresno, CA|SAN DIEGO, CA|Fresno, CA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| C••• F•••••••• S•••••••• L••• | O•••• I••••••••• I••• | Mar 21, 2025 | Mar 24, 2025 | 3 | Firm change | Ibd to ibd |
| T• A••••••••• I••••••••• M••••••••• L•• | T• A••••••••• I••• | Apr 16, 2019 | Feb 27, 2018 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 42132:35371:CA:2025-03-13 | Mar 21, 2025 | Mar 24, 2025 | FRESNO, CA | Firm change |
| T• A••••••••• I••• | Former SEC adviser | Feb 27, 2018 | Apr 16, 2019 | no | STOCKTON, CA | Previous registration |
| T• A••••••••• I••••••••• M••••••••• L•• | Former SEC adviser | Feb 26, 2018 | Apr 16, 2019 | no | OMAHA, NE|Stockton, CA | Previous registration |
| S•••••••• I••••••••• M••••••••• | Former SEC adviser | Jan 25, 2017 | Feb 26, 2018 | no | SAINT LOUIS, MO | Previous registration |
| J••• M••••• S••••••••• L•• | Wirehouse | Sep 10, 2015 | Nov 24, 2015 | no | BERKELEY, CA|EL CERRITO, CA | Previous registration |
| T• A••••••••• I••••••••• M••••••••• L•• | Former SEC adviser | Jul 24, 2014 | Jul 6, 2015 | no | WALNUT CREEK, CA | Previous registration |
| T• A••••••••• I••• | Former SEC adviser | Jul 24, 2014 | Jul 6, 2015 | no | Walnut Creek, CA|OMAHA, NE|OMAHA, NE | Previous registration |
| -413 |
| Channel change |
| Other |
| T• A••••••••• I••• | C••• F•••••••• S•••••••• L••• | Apr 16, 2019 | Jul 21, 2020 | 462 | Firm change after gap | Other |
| S•••••••• I••••••••• M••••••••• | T• A••••••••• I••••••••• M••••••••• L•• | Feb 26, 2018 | Feb 26, 2018 | 0 | Bulk transfer | Ibd to RIA |
| J••• M••••• S••••••••• L•• | S•••••••• I••••••••• M••••••••• | Nov 24, 2015 | Jan 25, 2017 | 428 | Firm change after gap | Other |
| T• A••••••••• I••••••••• M••••••••• L•• | T• A••••••••• I••• | Jul 6, 2015 | Jul 24, 2014 | -347 | Channel change | Other |
| T• A••••••••• I••• | T• A••••••••• I••••••••• M••••••••• L•• | Jul 6, 2015 | Jul 24, 2014 | -347 | Firm change after gap | Other |