DFX Intelligence
Reading the graph
Reading the graph
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Advisor at T•••• S••••••••• L••
WOODLAND 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 |
|---|---|---|---|---|---|---|
| T•••• S••••••••• L•• | Independent wealth | Dec 23, 2020 | n/a | yes | WOODLAND HILLS, CA | Current employment |
| T• A••••••••• I••••••••• M••••••••• L•• | Former SEC adviser | Aug 6, 2013 | Dec 3, 2020 | no | ENCINO, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| T• A••••••••• I••••••••• M••••••••• L•• | T•••• S••••••••• L•• | Dec 3, 2020 | Dec 23, 2020 | 20 | Firm change | RIA to RIA |
| T• A••••••••• I••• | T• A••••••••• I••••••••• M••••••••• L•• | Dec 3, 2020 | Aug 6, 2013 |
| T• A••••••••• I••• | Former SEC adviser | Aug 6, 2013 | Dec 3, 2020 | no | Encino, CA | Previous registration |
| E•••••••• A•••••••• L•• | National bd RIA | Jan 18, 2011 | Jul 22, 2013 | no | LOS ANGELES, CA|SHERMAN OAKS, CA|LOS ANGELES, CA | Previous registration |
| -2,676 |
| Bulk transfer |
| Other |
| E•••••••• A•••••••• L•• | T• A••••••••• I••• | Jul 22, 2013 | Aug 6, 2013 | 15 | Firm change | Other |