DFX Intelligence
Reading the graph
Reading the graph
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Advisor at S•••••••• A••••••• L••
SUNNYVALE, CA | SAN JOSE, 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 |
|---|---|---|---|---|---|---|
| S•••••••• A••••••• L•• | National bd RIA | Mar 31, 2025 | n/a | yes | SAN JOSE, CA|SUNNYVALE, CA | Current employment |
| F••••••• P••••••• A•• W•••••••• A••••••• | Former SEC adviser | Feb 24, 2021 | Mar 31, 2025 | no | SUNNYVALE, CA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| F••••••• P••••••• A•• W•••••••• A••••••• | S•••••••• A••••••• L•• | Mar 31, 2025 | Mar 31, 2025 | 0 | Bulk transfer | Ibd to ibd |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | F••••••• P••••••• A•• W•••••••• A••••••• | Jan 8, 2021 | Feb 24, 2021 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 7691:288590:CA:2021-01-02 | Jan 8, 2021 | Feb 24, 2021 | IRVINE, CA | Firm change |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Wirehouse | Oct 22, 2020 | Jan 8, 2021 | no | NEW YORK, NY|IRVINE, CA | Previous registration |
| A••••••• C•••••• I••••••••• P•••••• C••••• G••••• I••• | Bd affiliated wealth | Oct 4, 2018 | May 4, 2020 | no | Mountain View, CA|KANSAS CITY, MO | Previous registration |
| 47 |
| Firm change |
| Wirehouse to ibd |
| A••••••• C•••••• I••••••••• P•••••• C••••• G••••• I••• | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | May 4, 2020 | Oct 22, 2020 | 171 | Firm change | Ibd to wirehouse |