DFX Intelligence
Reading the graph
Reading the graph
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Advisor at W••••• A••••••• S•••••••• L••
SHOREWOOD, IL | Redwood City, 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••••••• S•••••••• L•• | Institutional manager | Jun 28, 2024 | n/a | yes | Redwood City, CA|SHOREWOOD, IL | Current employment |
| G••••• R••••••••• P••••••• L•• | Institutional manager | Apr 22, 2024 | Jul 5, 2024 | no | SAN RAFAEL, CA|Redwood City, CA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| G••••• R••••••••• P••••••• L•• | W••••• A••••••• S•••••••• L•• | Jul 5, 2024 | Jun 28, 2024 | -7 | Bulk transfer | Other |
| N••••••• R••••••••• S•••••••• I••• | G••••• R••••••••• P••••••• L•• | Apr 15, 2024 | Apr 22, 2024 |
| N••••••• R••••••••• S•••••••• I••• | Institutional manager | Jul 26, 2023 | Apr 15, 2024 | no | Sandy, UT|SAN MATEO, CA | Previous registration |
| F••••••• P••••••• A•• W•••••••• A••••••• | Former SEC adviser | Jul 13, 2018 | Jul 26, 2023 | no | BOSTON, MA | Previous registration |
| S•••••••• A••••••• L•• | National bd RIA | May 26, 2011 | Jul 13, 2018 | no | SALT LAKE CITY, UT|SANDY, UT | Previous registration |
| 7 |
| Firm change |
| Other |
| F••••••• P••••••• A•• W•••••••• A••••••• | N••••••• R••••••••• S•••••••• I••• | Jul 26, 2023 | Jul 26, 2023 | 0 | Firm change | Other |
| S•••••••• A••••••• L•• | F••••••• P••••••• A•• W•••••••• A••••••• | Jul 13, 2018 | Jul 13, 2018 | 0 | Bulk transfer | Ibd to new firm |