DFX Intelligence
Reading the graph
Reading the graph
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Advisor at O•••• A••••••• S•••••••• L••
••• Locked
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•••• A••••••• S•••••••• L•• | Bd affiliated wealth | Nov 8, 2024 | n/a | yes | WESTLAKE VILLAGE, CA | Current employment |
| O•••• W•••••• I••• | Bd affiliated wealth | Jun 14, 2024 | n/a | yes | FLOWER MOUND, TX|WESTLAKE VILLAGE, CA|FORT WORTH, TX|TORRANCE, CA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| A•••• P•••• A••••••• | O•••• W•••••• I••• | Nov 8, 2024 | Jun 14, 2024 | -147 | Channel change | Ibd to ibd |
| S••••••••• A•••••• A•••••••• I••• | A•••• P•••• A••••••• | Jun 14, 2024 | Apr 25, 2016 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 165127:23131:CA:2024-11-08 | Nov 8, 2024 | Jun 14, 2024 | TORRANCE, CA | Firm change after gap |
| 110518:165127:CA:2024-06-14 | Jun 14, 2024 | Apr 25, 2016 | TORRANCE, CA | Firm change after gap |
| 160322:110518:CA:2016-04-26 | Apr 26, 2016 | Apr 25, 2016 | LOS ANGELES, CA | Firm change |
| A•••• P•••• A••••••• | Former SEC adviser | Apr 25, 2016 | Nov 8, 2024 | no | Westlake Village, CA|TORRANCE, CA|Torrance, CA | Previous registration |
| S••••••••• A•••••• A•••••••• I••• | Former SEC adviser | Apr 25, 2016 | Jun 14, 2024 | no | Westlake Village, CA|TORRANCE, CA|Torrance, CA | Previous registration |
| A••••••• F•••••••• N•••••• A••••••• S•••••••• L•• | Former SEC adviser | Apr 23, 2013 | Apr 26, 2016 | no | LOS ANGELES, CA | Previous registration |
| S••••••••• A•••••• A•••••••• I••• | Former SEC adviser | Oct 25, 2004 | Sep 23, 2014 | no | WESTLAKE VILLAGE, CA|CALABASAS, CA | Previous registration |
| N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• | Former SEC adviser | Feb 19, 2003 | Oct 22, 2004 | no | WESTLAKE VILLAGE, CA | Previous registration |
| -2,972 |
| Channel change |
| Other |
| A••••••• F•••••••• N•••••• A••••••• S•••••••• L•• | S••••••••• A•••••• A•••••••• I••• | Apr 26, 2016 | Apr 25, 2016 | -1 | Firm change | Other |
| S••••••••• A•••••• A•••••••• I••• | A••••••• F•••••••• N•••••• A••••••• S•••••••• L•• | Sep 23, 2014 | Apr 23, 2013 | -518 | Firm change after gap | Other |
| N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• | S••••••••• A•••••• A•••••••• I••• | Oct 22, 2004 | Oct 25, 2004 | 3 | Firm change | Other |