DFX Intelligence
Reading the graph
Reading the graph
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Advisor at S•••••••• A••••••• L••
PALO ALTO, CA | MORGAN HILL, 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 | PALO ALTO, CA|MORGAN HILL, CA | Current employment |
| F••••••• P••••••• A•• W•••••••• A••••••• | Former SEC adviser | Dec 16, 2021 | Mar 31, 2025 | no | SALT LAKE CITY, UT |
| 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 |
| F••••• I••••••••• | F••••••• P••••••• A•• W•••••••• A••••••• | Aug 2, 2016 | Dec 16, 2021 |
| F••••• I••••••••• | Independent wealth | Dec 17, 2014 | Aug 2, 2016 | no | CORONA, CA|PLANO, TX | Previous registration |
| C••••••• P••••••• | Independent wealth | Jun 21, 2011 | May 16, 2014 | no | CORONA, CA|OVERLAND PARK, KS | Previous registration |
| R•••• C•••••• M••••••••• L•• | Former SEC adviser | Aug 3, 2010 | Jul 1, 2011 | no | CORONA, CA|AMERICAN FORK, UT | Previous registration |
| C•••••• S••••• • C••• I••• | National bd RIA | May 18, 2005 | May 5, 2010 | no | PASADENA, CA|Pasadena, CA | Previous registration |
| S•••••••• A••••••• L•• | National bd RIA | Aug 12, 2003 | May 19, 2005 | no | SALT LAKE CITY, UT | Previous registration |
| 1,962 |
| Firm change after gap |
| Other |
| C••••••• P••••••• | F••••• I••••••••• | May 16, 2014 | Dec 17, 2014 | 215 | Firm change | Other |
| R•••• C•••••• M••••••••• L•• | C••••••• P••••••• | Jul 1, 2011 | Jun 21, 2011 | -10 | Firm change | Other |
| C•••••• S••••• • C••• I••• | R•••• C•••••• M••••••••• L•• | May 5, 2010 | Aug 3, 2010 | 90 | Firm change | Other |
| S•••••••• A••••••• L•• | C•••••• S••••• • C••• I••• | May 19, 2005 | May 18, 2005 | -1 | Firm change | Ibd to ibd |