DFX Intelligence
Reading the graph
Reading the graph
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Advisor at F•••••••• S•••••••• L••
ROSEVILLE, 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 |
|---|---|---|---|---|---|---|
| F•••••••• S•••••••• L•• | State registered | Oct 25, 2024 | n/a | yes | ROSEVILLE, CA | Current employment |
| F•••••••• S••••••••• L•• | n/a | Apr 15, 2021 | Aug 24, 2025 | no | ROSEVILLE, CA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| F•••••••• S••••••••• L•• | F•••••••• S•••••••• L•• | Aug 24, 2025 | Oct 25, 2024 | -303 | Firm change after gap | Other |
| F•••••••• S••••••••• L•• | F•••••••• S••••••••• L•• | Jul 3, 2022 | Apr 15, 2021 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 312694:332247:CA:2025-08-24 | Aug 24, 2025 | Oct 25, 2024 | ROSEVILLE, CA | Firm change after gap |
| 148118:312694:CA:2022-07-03 | Jul 3, 2022 | Apr 15, 2021 | ROSEVILLE, CA | Firm change after gap |
| F•••••••• S••••••••• L•• | n/a | Sep 10, 2018 | Jul 3, 2022 | no | ROSEVILLE, CA | Previous registration |
| C••• I••••••••• A•••••••• I••• | Independent wealth | Dec 21, 2016 | Oct 5, 2018 | no | Stockbridge, GA|MCDONOUGH, GA | Previous registration |
| C••• I••••••••• A•••••••• I••• | Independent wealth | Jan 16, 2013 | Jan 22, 2015 | no | ATLANTA, GA|MCDONOUGH, GA|STOCKBRIDGE, GA | Previous registration |
| C• W••••• M••••••••• L•• | Independent wealth | Aug 3, 2011 | Feb 22, 2012 | no | SCHAUMBURG, IL | Previous registration |
| G••••• S••••••••• I••• | Former SEC adviser | Feb 7, 2011 | Jun 24, 2011 | no | ATLANTA, GA|SAN DIEGO, CA|TOMS RIVER, NJ|TOMS RIVER, NJ | Previous registration |
| Q•• F•••••••• L•• | n/a | Aug 3, 2010 | Feb 11, 2011 | no | ATLANTA, GA | Previous registration |
| F•••••••• S••••••••• L•• | n/a | Jul 28, 2010 | Nov 20, 2013 | no | ROSEVILLE, CA | Previous registration |
| -444 |
| Firm change after gap |
| Other |
| C••• I••••••••• A•••••••• I••• | F•••••••• S••••••••• L•• | Oct 5, 2018 | Sep 10, 2018 | -25 | Firm change | Other |
| F•••••••• S••••••••• L•• | Q•• F•••••••• L•• | Nov 20, 2013 | Aug 3, 2010 | -1,205 | Firm change after gap | Other |
| C• W••••• M••••••••• L•• | C••• I••••••••• A•••••••• I••• | Feb 22, 2012 | Jan 16, 2013 | 329 | Firm change | Other |
| G••••• S••••••••• I••• | C• W••••• M••••••••• L•• | Jun 24, 2011 | Aug 3, 2011 | 40 | Firm change | Other |
| Q•• F•••••••• L•• | G••••• S••••••••• I••• | Feb 11, 2011 | Feb 7, 2011 | -4 | Firm change | Other |