DFX Intelligence
Reading the graph
Reading the graph
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Advisor at S•• W•••••
••• 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 |
|---|---|---|---|---|---|---|
| F•••• C••••••• I••••••• S•••••••• I••• | Bd affiliated wealth | May 29, 2025 | n/a | yes | San Francisco, CA|CHARLOTTE, NC|Menlo Park, CA | Current employment |
| S•• W••••• | Independent wealth | Mar 4, 2022 | n/a | yes | Menlo Park, CA | Current employment |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| S•• I••••••••• S••••••• I••• | S•• W••••• | Jul 29, 2022 | Mar 4, 2022 | -147 | Bulk transfer | Ibd to RIA |
| W•••••• • R••• | S•• I••••••••• S••••••• I••• | Aug 10, 2012 | Aug 22, 2017 |
| S•• I••••••••• S••••••• I••• | Former SEC adviser | Aug 22, 2017 | Jul 29, 2022 | no | Menlo Park, CA|SAN FRANCISCO, CA|Menlo Park, CA | Previous registration |
| W•••••• • R••• | Former SEC adviser | Jul 21, 2010 | Aug 10, 2012 | no | SCOTTSDALE, AZ | Previous registration |
| E•••••••• A•••••••• L•• | National bd RIA | Apr 10, 2008 | Nov 11, 2009 | no | SCOTTSDALE, AZ | Previous registration |
| W•••• F•••• I••••••••• L•• | n/a | Jan 27, 2006 | Apr 9, 2007 | no | LOS ANGELES, CA|LOS ANGELES, CA|SIMI VALLEY, CA | Previous registration |
| Firm change after gap |
| Other |
| E•••••••• A•••••••• L•• | W•••••• • R••• | Nov 11, 2009 | Jul 21, 2010 | 252 | Firm change | Other |
| W•••• F•••• I••••••••• L•• | E•••••••• A•••••••• L•• | Apr 9, 2007 | Apr 10, 2008 | 367 | Firm change | Other |