DFX Intelligence
Reading the graph
Reading the graph
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Advisor at C••••••• A•••• M••••••••• L••
Roseville, CA | ANN ARBOR, MI
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 |
|---|---|---|---|---|---|---|
| C••••••• A•••• M••••••••• L•• | Bd affiliated wealth | Jun 2, 2023 | n/a | yes | ANN ARBOR, MI|Roseville, CA | Current employment |
| B•••••••• F•••••••• S•••••••• I••• | State registered | May 7, 2018 | Feb 13, 2025 | no | ROSEVILLE, CA|ROSEVILLE, CA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| B•••••••• F•••••••• S•••••••• I••• | C••••••• A•••• M••••••••• L•• | Feb 13, 2025 | Jun 2, 2023 | -622 | Firm change after gap | Other |
| H•••••• T••••••• • K•••• L•• | B•••••••• F•••••••• S•••••••• I••• | Apr 19, 2018 | May 7, 2018 |
| H•••••• T••••••• • K•••• L•• | Independent wealth | Mar 1, 2018 | Apr 19, 2018 | no | REDWOOD SHORES, CA | Previous registration |
| Q•••••• A•••• M••••••••• I••• | Former SEC adviser | Nov 2, 2015 | Aug 24, 2016 | no | ROCKLIN, CA|MINNEAPOLIS, MN | Previous registration |
| W•••••• • R••• | Former SEC adviser | Aug 14, 2013 | Nov 10, 2015 | no | SACRAMENTO, CA | Previous registration |
| 18 |
| Firm change |
| Ibd to state RIA |
| Q•••••• A•••• M••••••••• I••• | H•••••• T••••••• • K•••• L•• | Aug 24, 2016 | Mar 1, 2018 | 554 | Firm change after gap | Other |
| W•••••• • R••• | Q•••••• A•••• M••••••••• I••• | Nov 10, 2015 | Nov 2, 2015 | -8 | Firm change | Other |