DFX Intelligence
Reading the graph
Reading the graph
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Advisor at F•••• A••••••••• F•••••••• N•••••• L••
Santa Barbara, CA | SANTA BARBARA, 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•••• A••••••••• F•••••••• N•••••• L•• | Independent wealth | Jul 10, 2026 | n/a | yes | Santa Barbara, CA | Current employment |
| H•••• F••••• O•••••• L•• | State registered | Nov 9, 2021 | n/a | yes | SANTA BARBARA, CA | Current employment |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| B••••••••• S•••••••• W•••••• L•• | H•••• F••••• O•••••• L•• | Dec 10, 2020 | Nov 9, 2021 | 334 | Firm change | RIA to state RIA |
| F••••••• F•••••••• N••••••• L•• | B••••••••• S•••••••• W•••••• L•• | Dec 21, 2012 | Aug 29, 2012 |
| B••••••••• S•••••••• W•••••• L•• |
| Former SEC adviser |
| Aug 29, 2012 |
| Dec 10, 2020 |
| no |
| PALO ALTO, CA|ST LOUIS, MO |
| Previous registration |
| F••••••• F•••••••• N••••••• L•• | Former SEC adviser | Jan 18, 2011 | Dec 21, 2012 | no | CUPERTINO, CA | Previous registration |
| P•••••••• W••••• M••••••••• I••• | Former SEC adviser | Apr 29, 2003 | Feb 23, 2011 | no | SAN JOSE, CA | Previous registration |
| -114 |
| Channel change |
| Other |
| P•••••••• W••••• M••••••••• I••• | F••••••• F•••••••• N••••••• L•• | Feb 23, 2011 | Jan 18, 2011 | -36 | Firm change after gap | Other |