DFX Intelligence
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Reading the graph
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Advisor at C••• F•••••••• G••••• L••
SAN MATEO, 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 |
|---|---|---|---|---|---|---|
| L•• F•••••••• L•• | Bd affiliated wealth | Sep 8, 2009 | n/a | yes | SAN MATEO, CA | Current employment |
| C••• F•••••••• G••••• L•• | State registered | Apr 16, 2009 | n/a | yes | SAN MATEO, CA | Current employment |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| A••••••••• P••••••• I••••••••• A••••••• I•• | A••••••••• S••••••••• C•••• | Oct 13, 2009 | Dec 16, 2008 | -301 | Firm change after gap | Other |
| A••••••••• S••••••••• C•••• | C••• F•••••••• G••••• L•• | Sep 8, 2009 | Apr 16, 2009 |
| n/a |
| Dec 16, 2008 |
| Sep 8, 2009 |
| no |
| SAN MATEO, CA|BELMONT, CA |
| Previous registration |
| A••••••••• P••••••• I••••••••• A••••••• I•• | n/a | Dec 15, 2008 | Oct 13, 2009 | no | BOSTON, MA | Previous registration |
| F•• S••••••••• C••••••••• | Former SEC adviser | Apr 4, 2003 | Dec 16, 2008 | no | BELMONT, CA | Previous registration |
| -145 |
| Firm change after gap |
| Other |
| F•• S••••••••• C••••••••• | A••••••••• P••••••• I••••••••• A••••••• I•• | Dec 16, 2008 | Dec 15, 2008 | -1 | Firm change | Other |