DFX Intelligence
Reading the graph
Reading the graph
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Advisor at D••••••••• W••••• M•••••••••
WALNUT CREEK, 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 |
|---|---|---|---|---|---|---|
| D••••••••• W••••• M••••••••• | Independent wealth | Feb 1, 2019 | n/a | yes | WALNUT CREEK, CA | Current employment |
| T• A••••••••• I••••••••• M••••••••• L•• | Former SEC adviser | Aug 8, 2016 | Jan 17, 2019 | no | Walnut Creek, CA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| T• A••••••••• I••••••••• M••••••••• L•• | T• A••••••••• I••• | Jan 17, 2019 | Aug 8, 2016 | -892 | Firm change after gap | Other |
| T• A••••••••• I••• | T• A••••••••• I••••••••• M••••••••• L•• | Jan 17, 2019 | Aug 8, 2016 |
| T• A••••••••• I••• | Former SEC adviser | Aug 8, 2016 | Jan 17, 2019 | no | Walnut Creek, CA | Previous registration |
| S•••••••• A••••••• L•• | National bd RIA | Jan 12, 2011 | Dec 31, 2014 | no | ROSEVILLE, CA|SAN FRANCISCO, CA | Previous registration |
| W•••• F•••• I••••••••• L•• | n/a | Oct 14, 2009 | Dec 6, 2010 | no | SACRAMENTO, CA | Previous registration |
| -892 |
| Channel change |
| Other |
| S•••••••• A••••••• L•• | T• A••••••••• I••••••••• M••••••••• L•• | Dec 31, 2014 | Aug 8, 2016 | 586 | Firm change after gap | Other |
| W•••• F•••• I••••••••• L•• | S•••••••• A••••••• L•• | Dec 6, 2010 | Jan 12, 2011 | 37 | Firm change | Other |