DFX Intelligence
Reading the graph
Reading the graph
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Advisor at N••••••• R••••••••• S•••••••• I•••
SAN MATEO, CA | San Marcos, 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 |
|---|---|---|---|---|---|---|
| N••••••• R••••••••• S•••••••• I••• | Institutional manager | Jul 24, 2020 | n/a | yes | SAN MATEO, CA|San Marcos, CA | Current employment |
| E•••••• A••••••• G••••• L•• | Bd affiliated wealth | Jan 7, 2019 | Jul 7, 2020 | no | San Diego, CA|GREENWOOD VILLAGE, CO |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| E•••••• A••••••• G••••• L•• | N••••••• R••••••••• S•••••••• I••• | Jul 7, 2020 | Jul 24, 2020 | 17 | Firm change | Other |
| S•••••••• F••••••••• I••• | E•••••• A••••••• G••••• L•• | Jan 8, 2019 | Jan 7, 2019 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 133763:44254:CA:2018-06-11 | Jun 11, 2018 | May 10, 2018 | SAN DIEGO, CA | Firm change after gap |
| S•••••••• F••••••••• I••• | Former SEC adviser | Jun 20, 2018 | Jan 8, 2019 | no | SAN DIEGO, CA | Previous registration |
| M•• S••••••••• L•• | No RAUM reported | May 10, 2018 | Jan 3, 2019 | no | San Diego, CA | Previous registration |
| S•••••••• F••••••••• I••• | Former SEC adviser | Jun 25, 2015 | Jun 11, 2018 | no | SAN DIEGO, CA | Previous registration |
| F•••••••• A••••••• S•••••••• L•• | Former SEC adviser | Jul 22, 2014 | May 18, 2015 | no | SAN DIEGO, CA | Previous registration |
| J••• M••••• S••••••••• L•• | Wirehouse | Feb 28, 2014 | Jul 2, 2014 | no | SAN FRANCISCO, CA|SAN FRANCISCO, CA | Previous registration |
| -1 |
| Firm change |
| Other |
| M•• S••••••••• L•• | S•••••••• F••••••••• I••• | Jan 3, 2019 | Jun 20, 2018 | -197 | Firm change after gap | Other |
| S•••••••• F••••••••• I••• | M•• S••••••••• L•• | Jun 11, 2018 | May 10, 2018 | -32 | Firm change after gap | Other |
| F•••••••• A••••••• S•••••••• L•• | S•••••••• F••••••••• I••• | May 18, 2015 | Jun 25, 2015 | 38 | Firm change | Other |
| J••• M••••• S••••••••• L•• | F•••••••• A••••••• S•••••••• L•• | Jul 2, 2014 | Jul 22, 2014 | 20 | Firm change | Other |