DFX Intelligence
Reading the graph
Reading the graph
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Advisor at S•••••••• A••••••• L••
SAN DIEGO, 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 |
|---|---|---|---|---|---|---|
| S•••••••• A••••••• L•• | National bd RIA | Mar 31, 2025 | n/a | yes | SAN DIEGO, CA|SAN DIEGO, CA | Current employment |
| F••••••• P••••••• A•• W•••••••• A••••••• | Former SEC adviser | Sep 22, 2023 | Mar 31, 2025 | no | SAN DIEGO, CA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| F••••••• P••••••• A•• W•••••••• A••••••• | S•••••••• A••••••• L•• | Mar 31, 2025 | Mar 31, 2025 | 0 | Bulk transfer | Ibd to ibd |
| E•••••• C•••••• M••••••••• L•• | F••••••• P••••••• A•• W•••••••• A••••••• | Aug 17, 2023 | Sep 22, 2023 |
| E•••••• C•••••• M••••••••• L•• | Former SEC adviser | Nov 20, 2019 | Aug 17, 2023 | no | La Jolla, CA|San Diego, CA|ARLINGTON, VA|San Diego, CA | Previous registration |
| M•• I•••••••• S•••••••• L•• | Bd affiliated wealth | Feb 8, 2019 | Aug 12, 2019 | no | COLCHESTER, VT | Previous registration |
| 36 |
| Firm change |
| RIA to ibd |
| M•• I•••••••• S•••••••• L•• | E•••••• C•••••• M••••••••• L•• | Aug 12, 2019 | Nov 20, 2019 | 100 | Firm change | Ibd to RIA |