DFX Intelligence
Reading the graph
Reading the graph
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Advisor at S••••••••• W•••••
SUMMIT, NJ | San Diego, 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 |
|---|---|---|---|---|---|---|
| S••••••••• W••••• | Mixed wealth | Feb 13, 2025 | n/a | yes | San Diego, CA|SUMMIT, NJ | Current employment |
| L•••••• A•••• M••••••••• | Former SEC adviser | Jan 3, 2022 | Feb 14, 2025 | no | Pleasanton, CA|SAN DIEGO, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| L•••••• A•••• M••••••••• | S••••••••• W••••• | Feb 14, 2025 | Feb 13, 2025 | -1 | Bulk transfer | Other |
| A••••••• A••••••• S•••••••• L•• | L•••••• A•••• M••••••••• | Jan 14, 2022 | Jan 3, 2022 |
| A••••••• A••••••• S•••••••• L•• | Bd affiliated wealth | Nov 1, 2021 | Jan 14, 2022 | no | SAN RAMON, CA | Previous registration |
| A••••••• A••••••• S••••••• | Former SEC adviser | Aug 24, 2016 | Nov 1, 2021 | no | SAN RAMON, CA|LINCOLN, NE|Glendale, AZ | Previous registration |
| -11 |
| Firm change |
| Ibd to RIA |
| A••••••• A••••••• S••••••• | A••••••• A••••••• S•••••••• L•• | Nov 1, 2021 | Nov 1, 2021 | 0 | Bulk transfer | Ibd to ibd |