DFX Intelligence
Reading the graph
Reading the graph
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Advisor at L•• F•••••••• 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 |
|---|---|---|---|---|---|---|
| L•• F•••••••• L•• | Bd affiliated wealth | Sep 1, 2020 | n/a | yes | SAN DIEGO, CA|BOCA RATON, FL|STUART, FL | Current employment |
| L•••• C•••••• G•••• | Former SEC adviser | Apr 9, 2010 | Oct 5, 2020 | no | SAN DIEGO, CA|BOCA RATON, FL|STUART, FL |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| L•••• C•••••• G•••• | L•• F•••••••• L•• | Oct 5, 2020 | Sep 1, 2020 | -34 | Firm change after gap | RIA to ibd |
| R•••••• J• L•••• C••••••••• I••• | L•••• C•••••• G•••• | Nov 10, 2010 | Apr 9, 2010 |
| R•••••• J• L•••• C••••••••• I••• | n/a | Apr 6, 2009 | Nov 10, 2010 | no | SAN DIEGO, CA | Previous registration |
| R•••••• J• L•••• C••••••••• I••• | n/a | Apr 28, 2008 | Jul 28, 2008 | no | SAN DIEGO, CA | Previous registration |
| F•••• A••••• S••••••••• I••• | Former SEC adviser | Mar 14, 2008 | Apr 6, 2009 | no | STUART, FL|STUART, FL|SAN DIEGO, CA|BOCA RATON, FL | Previous registration |
| S••••••••• A•••••• A•••••••• I••• | Former SEC adviser | Aug 17, 2007 | Feb 19, 2008 | no | BOCA RATON, FL|BOCA RATON, FL | Previous registration |
| R•••••• J• L•••• C••••••••• I••• | n/a | Jan 19, 2006 | Feb 15, 2008 | no | BOCA RATON, FL | Previous registration |
| R•• F•••••••• N••••••• L••••• | n/a | May 17, 2004 | Mar 7, 2006 | no | BOCA RATON, FL | Previous registration |
| S••••••••• A•••••• A•••••••• I••• | Former SEC adviser | Jul 18, 2000 | Aug 17, 2007 | no | BOCA RATON, FL | Previous registration |
| -215 |
| Firm change after gap |
| Other |
| F•••• A••••• S••••••••• I••• | R•••••• J• L•••• C••••••••• I••• | Apr 6, 2009 | Apr 28, 2008 | -343 | Firm change after gap | Other |
| S••••••••• A•••••• A•••••••• I••• | F•••• A••••• S••••••••• I••• | Feb 19, 2008 | Mar 14, 2008 | 24 | Firm change | Other |
| R•••••• J• L•••• C••••••••• I••• | S••••••••• A•••••• A•••••••• I••• | Feb 15, 2008 | Aug 17, 2007 | -182 | Firm change after gap | Other |
| S••••••••• A•••••• A•••••••• I••• | R•• F•••••••• N••••••• L••••• | Aug 17, 2007 | May 17, 2004 | -1,187 | Firm change after gap | Other |
| R•• F•••••••• N••••••• L••••• | R•••••• J• L•••• C••••••••• I••• | Mar 7, 2006 | Jan 19, 2006 | -47 | Firm change after gap | Other |