DFX Intelligence
Reading the graph
Reading the graph
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Advisor at B•••••••• A•••• M••••••••• L••
RENO, NV | Thousand Oaks, 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 |
|---|---|---|---|---|---|---|
| B•••••••• A•••• M••••••••• L•• | Independent wealth | Apr 21, 2017 | n/a | yes | Thousand Oaks, CA|RENO, NV | Current employment |
| C••••••• A••••••• P•••••••• L•• | Independent wealth | Jun 9, 2016 | Apr 19, 2017 | no | Weslake Village, CA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| C••••••• A••••••• P•••••••• L•• | B•••••••• A•••• M••••••••• L•• | Apr 19, 2017 | Apr 21, 2017 | 2 | Firm change | Other |
| C••••• A•••••• N••••••• L•• | C••••••• A••••••• P•••••••• L•• | Apr 20, 2016 | Jun 9, 2016 |
| C••••• A•••••• N••••••• L•• | Former SEC adviser | Feb 22, 2011 | Apr 20, 2016 | no | Livermore, CA|WOODLAND HILLS, CA|THOUSAND OAKS, CA | Previous registration |
| Q•• F•••••••• L•• | n/a | Jul 31, 2009 | Feb 11, 2011 | no | WOODLAND HILLS, CA|OMAHA, NE | Previous registration |
| T••••••••• F•••••••• A•••••••• L•• | Bd affiliated wealth | Jul 27, 2007 | Dec 31, 2008 | no | THOUSAND OAKS, CA|GOLD RIVER, CA|WOODLAND HILLS, CA | Previous registration |
| 1••• C•••••• M••••••••• C•••••• | n/a | Jun 8, 2006 | Jan 31, 2007 | no | WOODLAND HILLS, CA|LOS ANGELES, CA|LOS ANGELES, CA | Previous registration |
| M•• I•••••••• S•••••••• L•• | Bd affiliated wealth | Sep 20, 2004 | Mar 24, 2006 | no | WESTLAKE VILLAGE, CA|WESTLAKE VILLAGE, CA | Previous registration |
| O•••• F•• I••• | Former SEC adviser | Nov 7, 2002 | Jun 30, 2004 | no | WESTLAKE VILLAGE, CA | Previous registration |
| 50 |
| Firm change |
| Other |
| Q•• F•••••••• L•• | C••••• A•••••• N••••••• L•• | Feb 11, 2011 | Feb 22, 2011 | 11 | Firm change | Other |
| T••••••••• F•••••••• A•••••••• L•• | Q•• F•••••••• L•• | Dec 31, 2008 | Jul 31, 2009 | 212 | Firm change | Other |
| 1••• C•••••• M••••••••• C•••••• | T••••••••• F•••••••• A•••••••• L•• | Jan 31, 2007 | Jul 27, 2007 | 177 | Firm change | Other |
| M•• I•••••••• S•••••••• L•• | 1••• C•••••• M••••••••• C•••••• | Mar 24, 2006 | Jun 8, 2006 | 76 | Firm change | Other |
| O•••• F•• I••• | M•• I•••••••• S•••••••• L•• | Jun 30, 2004 | Sep 20, 2004 | 82 | Firm change | Other |