DFX Intelligence
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Reading the graph
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Advisor at A••••••• F••••••••• L•••
Campbell, CA | FOLSOM, 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 |
|---|---|---|---|---|---|---|
| A••••••• F••••••••• L••• | Bd affiliated wealth | Oct 1, 2019 | n/a | yes | Campbell, CA|FOLSOM, CA | Current employment |
| L•• F•••••••• I••• | Former SEC adviser | Jan 10, 2011 | Jan 3, 2017 | no | SAN JOSE, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| S•••• W••••• M••••••••• I••• | L•• F•••••••• I••• | Nov 6, 2019 | Jan 10, 2011 | -3,222 | Firm change after gap | Other |
| L•• F•••••••• I••• | A••••••• F••••••••• L••• | Jan 3, 2017 | Oct 1, 2019 |
| S•••• W••••• M••••••••• I••• | Former SEC adviser | May 21, 2008 | Nov 6, 2019 | no | SAN JOSE, CA|SAN JOSE, CA | Previous registration |
| L•• F•••••••• I••• | Former SEC adviser | Jan 3, 2000 | Dec 31, 2010 | no | SAN JOSE, CA|SAN JOSE, CA | Previous registration |
| 1,001 |
| Firm change after gap |
| Other |
| L•• F•••••••• I••• | S•••• W••••• M••••••••• I••• | Dec 31, 2010 | May 21, 2008 | -954 | Firm change after gap | Other |