DFX Intelligence
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Reading the graph
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Advisor at W•••••••• P•••••••• 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 |
|---|---|---|---|---|---|---|
| W•••••••• P•••••••• L•• | Independent wealth | Jul 23, 2021 | n/a | yes | LOS ANGELES, CA | Current employment |
| F••••••• P••••••• A•• W•••••••• A••••••• | Former SEC adviser | Jul 7, 2020 | Jun 29, 2021 | no | SEAL BEACH, CA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| F••••••• P••••••• A•• W•••••••• A••••••• | W•••••••• P•••••••• L•• | Jun 29, 2021 | Jul 23, 2021 | 24 | Firm change | Ibd to RIA |
| M••••• S•••••• | F••••••• P••••••• A•• W•••••••• A••••••• | Jun 23, 2020 | Jul 7, 2020 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 172832:149777:MA:2019-03-12 | Mar 12, 2019 | May 7, 2019 | BOSTON, MA | Firm change |
| M••••• S•••••• | Wirehouse | May 7, 2019 | Jun 23, 2020 | no | Boston, MA | Previous registration |
| S•• W••••• | Independent wealth | Jul 24, 2018 | Mar 12, 2019 | no | BOSTON, MA | Previous registration |
| 14 |
| Firm change |
| Wirehouse to ibd |
| S•• W••••• | M••••• S•••••• | Mar 12, 2019 | May 7, 2019 | 56 | Firm change | RIA to wirehouse |