DFX Intelligence
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Reading the graph
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Advisor at D••••••• W•••••
San Francisco, 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••••• | State registered | Jan 1, 2026 | n/a | yes | San Francisco, CA | Current employment |
| R••••• W• B•••• • C•• I••••••••• | Mixed wealth | Apr 15, 2013 | Nov 6, 2013 | no | Mill Valley, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| R••••• W• B•••• • C•• I••••••••• | D••••••• W••••• | Nov 6, 2013 | Jan 1, 2026 | 4,439 | Firm change after gap | Other |
| B••••••• C•••••• I••• | R••••• W• B•••• • C•• I••••••••• | Sep 20, 2011 | Apr 15, 2013 |
| B••••••• C•••••• I••• | Former SEC adviser | Jan 21, 2009 | Sep 20, 2011 | no | SAN FRANCISCO, CA | Previous registration |
| L••••• B••••••• I••• | n/a | Oct 3, 2006 | Oct 15, 2008 | no | SAN FRANCISCO, CA|NEW YORK, NY | Previous registration |
| A••••••••• F•••••••• S•••••••• L•• | National bd RIA | Mar 16, 2006 | Jun 8, 2006 | no | San Francisco, CA | Previous registration |
| 573 |
| Firm change after gap |
| Other |
| L••••• B••••••• I••• | B••••••• C•••••• I••• | Oct 15, 2008 | Jan 21, 2009 | 98 | Bulk transfer | Other |
| A••••••••• F•••••••• S•••••••• L•• | L••••• B••••••• I••• | Jun 8, 2006 | Oct 3, 2006 | 117 | Firm change | Other |