DFX Intelligence
Reading the graph
Reading the graph
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Advisor at A••••••• F••••••••• L•••
Walnut Creek, 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 | Jun 6, 2024 | n/a | yes | Walnut Creek, CA|FOLSOM, CA | Current employment |
| S•••••• • P••••• C• L•• | Former SEC adviser | Jun 2, 2014 | Dec 12, 2024 | no | LAFAYETTE, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| S•••••• • P••••• C• L•• | A••••••• F••••••••• L••• | Dec 12, 2024 | Jun 6, 2024 | -189 | Firm change after gap | RIA to ibd |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | S•••••• • P••••• C• L•• | Apr 29, 2014 | Jun 2, 2014 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 109235:111167:CA:2024-12-12 | Dec 12, 2024 | Jun 6, 2024 | LAFAYETTE, CA | Firm change after gap |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Wirehouse | Oct 15, 2013 | Apr 29, 2014 | no | OAKLAND, CA | Previous registration |
| W•• I••••••••• I••• | Former SEC adviser | Apr 9, 2003 | Apr 15, 2013 | no | SAN FRANCISCO, CA|SAN FRANCISCO, CA|SAN FRANCISCO, CA | Previous registration |
| 34 |
| Firm change |
| Other |
| W•• I••••••••• I••• | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Apr 15, 2013 | Oct 15, 2013 | 183 | Firm change | Other |