DFX Intelligence
Reading the graph
Reading the graph
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Advisor at C•••••• L••••• I•••••••••
WALNUT CREEK, 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 |
|---|---|---|---|---|---|---|
| C•••••• L••••• I••••••••• | Independent wealth | Nov 13, 2014 | n/a | yes | WALNUT CREEK, CA | Current employment |
| C•••••• W••••• M••••••••• | Former SEC adviser | Sep 2, 2011 | Apr 14, 2015 | no | WALNUT CREEK, CA|WALNUT CREEK, CA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| C•••••• W••••• M••••••••• | C•••••• L••••• I••••••••• | Apr 14, 2015 | Nov 13, 2014 | -152 | Firm change after gap | Other |
| V•••••••• C•••••• A•••• M••••••••• I••• | C•••••• W••••• M••••••••• | Sep 9, 2011 | Sep 2, 2011 |
| V•••••••• C•••••• A•••• M••••••••• I••• | Former SEC adviser | Feb 20, 2008 | Sep 9, 2011 | no | SAN RAMON, CA | Previous registration |
| G••••• W••••• M••••••••• I••• | Bd affiliated wealth | May 1, 2007 | Feb 21, 2008 | no | SAN RAMON, CA | Previous registration |
| T• A••••••••• I••••••••• M••••••••• L•• | Former SEC adviser | Apr 25, 2006 | Mar 12, 2007 | no | SAN RAFAEL, CA | Previous registration |
| T• A••••••••• I••• | Former SEC adviser | Jan 17, 2006 | Mar 12, 2007 | no | CORTE MADERA, CA | Previous registration |
| M••••• S•••••• D• I••• | n/a | Mar 29, 2004 | Mar 7, 2005 | no | SAN FRANCISC, CA | Previous registration |
| -7 |
| Firm change |
| Other |
| G••••• W••••• M••••••••• I••• | V•••••••• C•••••• A•••• M••••••••• I••• | Feb 21, 2008 | Feb 20, 2008 | -1 | Firm change | Other |
| T• A••••••••• I••••••••• M••••••••• L•• | G••••• W••••• M••••••••• I••• | Mar 12, 2007 | May 1, 2007 | 50 | Firm change | Other |
| T• A••••••••• I••• | T• A••••••••• I••••••••• M••••••••• L•• | Mar 12, 2007 | Apr 25, 2006 | -321 | Channel change | Other |
| M••••• S•••••• D• I••• | T• A••••••••• I••• | Mar 7, 2005 | Jan 17, 2006 | 316 | Firm change | Other |