DFX Intelligence
Reading the graph
Reading the graph
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Advisor at W••••••••• A•••••••
San Rafael, 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 |
|---|---|---|---|---|---|---|
| W••••••••• A••••••• | Independent wealth | May 13, 2026 | n/a | yes | San Rafael, CA | Current employment |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Wirehouse | Jun 24, 2011 | Feb 4, 2013 | no | PALO ALTO, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | W••••••••• A••••••• | Feb 4, 2013 | May 13, 2026 | 4,846 | Firm change after gap | Wirehouse to RIA |
| M••••• S•••••• | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Jul 8, 2009 | Jun 24, 2011 |
| M••••• S•••••• | Wirehouse | Jun 1, 2009 | Jul 8, 2009 | no | San Francisco, CA | Previous registration |
| M••••• S•••••• • C•• L•• | n/a | Apr 2, 2007 | Jun 1, 2009 | no | SAN FRANCISCO, CA | Previous registration |
| M••••• S•••••• D• I••• | n/a | Feb 7, 2002 | Apr 2, 2007 | no | SAN FRANCISCO, CA|SAN FRANCISC, CA | Previous registration |
| 716 |
| Firm change after gap |
| Wirehouse to wirehouse |
| M••••• S•••••• • C•• L•• | M••••• S•••••• | Jun 1, 2009 | Jun 1, 2009 | 0 | Bulk transfer | Other |
| M••••• S•••••• D• I••• | M••••• S•••••• • C•• L•• | Apr 2, 2007 | Apr 2, 2007 | 0 | Bulk transfer | Other |