DFX Intelligence
Reading the graph
Reading the graph
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Advisor at P•••••• W••••• M••••••••• 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 |
|---|---|---|---|---|---|---|
| P•••••• W••••• M••••••••• L•• | Independent wealth | Feb 1, 2023 | n/a | yes | SAN FRANCISCO, CA|Palo Alto, CA|PALO ALTO, CA | Current employment |
| C•••••••• W••••• A••••••• | Former SEC adviser | Mar 19, 2018 | Mar 3, 2023 | no | PALO ALTO, CA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| C•••••••• W••••• A••••••• | P•••••• W••••• M••••••••• L•• | Mar 3, 2023 | Feb 1, 2023 | -30 | Firm change | RIA to RIA |
| B•••• | C•••••••• W••••• A••••••• | Feb 2, 2018 | Mar 19, 2018 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 162374:131037:CA:2023-03-03 | Mar 3, 2023 | Feb 1, 2023 | PALO ALTO, CA | Firm change |
| B•••• | Former SEC adviser | May 4, 2017 | Feb 2, 2018 | no | San Francisco, CA | Previous registration |
| B••••••••• S•••••••• W•••••• L•• | Former SEC adviser | Dec 10, 2014 | Apr 20, 2017 | no | PALO ALTO, CA|ST LOUIS, MO | Previous registration |
| U•• F•••••••• S••••••• I••• | Wirehouse | Apr 9, 2014 | Oct 31, 2014 | no | PALO ALTO, CA | Previous registration |
| Firm change |
| Other |
| B••••••••• S•••••••• W•••••• L•• | B•••• | Apr 20, 2017 | May 4, 2017 | 14 | Firm change | Other |
| U•• F•••••••• S••••••• I••• | B••••••••• S•••••••• W•••••• L•• | Oct 31, 2014 | Dec 10, 2014 | 40 | Firm change | Other |