DFX Intelligence
Reading the graph
Reading the graph
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Advisor at U• C•••••• G••••• W••••• M••••••••• L••
San Francisco, 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 |
|---|---|---|---|---|---|---|
| U• C•••••• G••••• W••••• M••••••••• L•• | State registered | Feb 28, 2022 | n/a | yes | San Francisco, CA | Current employment |
| O••••••••• • C•• I••• | Bd affiliated wealth | Oct 24, 2017 | Feb 28, 2020 | no | SAN FRANCISCO, CA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| O••••••••• • C•• I••• | U• C•••••• G••••• W••••• M••••••••• L•• | Feb 28, 2020 | Feb 28, 2022 | 731 | Firm change after gap | Ibd to state RIA |
| W••••••••• S••••••••• I••• | O••••••••• • C•• I••• | Sep 15, 2016 | Oct 24, 2017 |
| W••••••••• S••••••••• I••• | n/a | Sep 29, 2014 | Sep 15, 2016 | no | SAN RAFAEL, CA | Previous registration |
| R•• C•••••• M••••••• L•• | National bd RIA | Nov 7, 2006 | Jun 15, 2007 | no | SAN FRANCISCO, CA | Previous registration |
| M••••• S•••••• D• I••• | n/a | Dec 10, 2003 | Jun 1, 2006 | no | SAN FRANCISC, CA | Previous registration |
| 404 |
| Firm change after gap |
| Other |
| R•• C•••••• M••••••• L•• | W••••••••• S••••••••• I••• | Jun 15, 2007 | Sep 29, 2014 | 2,663 | Firm change after gap | Other |
| M••••• S•••••• D• I••• | R•• C•••••• M••••••• L•• | Jun 1, 2006 | Nov 7, 2006 | 159 | Firm change | Other |