DFX Intelligence
Reading the graph
Reading the graph
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Advisor at S•••• C••••••• L•
••• Locked
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•••• C••••••• L• | Independent wealth | Dec 16, 2025 | n/a | yes | San Ramon, CA|SALT LAKE CITY, UT | Current employment |
| F••• P•••• C•••••• P••••••• L•• | Independent wealth | Apr 25, 2008 | Aug 21, 2008 | no | SAN FRANCISCO, CA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| L•••••• S••••• P•••••••• L•• | F••• P•••• C•••••• P••••••• L•• | Dec 31, 2018 | Apr 25, 2008 | -3,902 | Firm change after gap | Other |
| F••• P•••• C•••••• P••••••• L•• | S•••• C••••••• L• | Aug 21, 2008 | Dec 16, 2025 |
| L•••••• S••••• P•••••••• L•• | n/a | Sep 6, 2006 | Dec 31, 2018 | no | SAN RAMON, CA|SAN FRANCISCO, CA|DANVILLE, CA|DANVILLE, CA | Previous registration |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Wirehouse | Jul 8, 1997 | May 17, 2006 | no | WALNUT CREEK, CA|WALNUT CREEK, CA | Previous registration |
| 6,326 |
| Firm change after gap |
| Other |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | L•••••• S••••• P•••••••• L•• | May 17, 2006 | Sep 6, 2006 | 112 | Firm change | Other |