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 S••••••••• W•••••
Walnut Creek, CA | SUMMIT, NJ
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 |
|---|---|---|---|---|---|---|
| S••••••••• W••••• | Mixed wealth | Feb 13, 2025 | n/a | yes | Walnut Creek, CA|SUMMIT, NJ | Current employment |
| L•••••• A•••• M••••••••• | Former SEC adviser | Jul 1, 2020 | Feb 14, 2025 | no | SAN DIEGO, CA|Walnut Creek, CA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| L•••••• A•••• M••••••••• | S••••••••• W••••• | Feb 14, 2025 | Feb 13, 2025 | -1 | Bulk transfer | Other |
| F•• S••••••••• C••••••••• | L•••••• A•••• M••••••••• | Jul 2, 2020 | Jul 1, 2020 |
| F•• S••••••••• C••••••••• | Former SEC adviser | Jan 7, 2019 | Jul 2, 2020 | no | WALNUT CREEK, CA|ATLANTA, GA | Previous registration |
| L•• F•••••••• L•• | Bd affiliated wealth | Dec 12, 2008 | Apr 23, 2009 | no | OAKLAND, CA|SAN DIEGO, CA|OAKLAND, CA | Previous registration |
| F•• S••••••••• C••••••••• | Former SEC adviser | Apr 3, 2008 | Dec 12, 2008 | no | SAN MATEO, CA|OAKLAND, CA | Previous registration |
| C••••• A•••••• N••••••• L•• | Former SEC adviser | May 11, 2007 | Apr 2, 2008 | no | OAKLAND, CA|Livermore, CA | Previous registration |
| E••••• J•••• | National bd RIA | Mar 14, 2007 | May 7, 2007 | no | OAKLAND, CA | Previous registration |
| -1 |
| Firm change |
| Ibd to RIA |
| L•• F•••••••• L•• | F•• S••••••••• C••••••••• | Apr 23, 2009 | Jan 7, 2019 | 3,546 | Firm change after gap | Other |
| F•• S••••••••• C••••••••• | L•• F•••••••• L•• | Dec 12, 2008 | Dec 12, 2008 | 0 | Firm change | Other |
| C••••• A•••••• N••••••• L•• | F•• S••••••••• C••••••••• | Apr 2, 2008 | Apr 3, 2008 | 1 | Firm change | Other |
| E••••• J•••• | C••••• A•••••• N••••••• L•• | May 7, 2007 | May 11, 2007 | 4 | Firm change | Other |