DFX Intelligence
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Reading the graph
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Advisor at D•••••••• C•••••• M••••••••• L••
MILL VALLEY, 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 |
|---|---|---|---|---|---|---|
| D•••••••• C•••••• M••••••••• L•• | Former SEC adviser | Jan 1, 2026 | n/a | yes | MILL VALLEY, CA | Current employment |
| D•••••••• C•••••• M••••••••• L•• | Former SEC adviser | Jan 4, 2012 | Dec 31, 2015 | no | SAN RAFAEL, CA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| J••• M••••• S••••••••• L•• | D•••••••• C•••••• M••••••••• L•• | Jan 9, 2012 | Jan 4, 2012 | -5 | Firm change | Wirehouse to new firm |
| C••••• S••••• S••••••••• •••• L•• | J••• M••••• S••••••••• L•• | Sep 16, 2004 | Sep 13, 2004 |
| J••• M••••• S••••••••• L•• | Wirehouse | Sep 13, 2004 | Jan 9, 2012 | no | SAN FRANCISCO, CA|SAN FRANCISCO, CA | Previous registration |
| C••••• S••••• S••••••••• •••• L•• | Former SEC adviser | Jan 17, 2003 | Sep 16, 2004 | no | SAN FRANCISCO, CA | Previous registration |
| P••••••• L•• | n/a | Jul 8, 1997 | Jan 17, 2003 | no | SAN FRANCISCO, CA | Previous registration |
| -3 |
| Firm change |
| Other |
| P••••••• L•• | C••••• S••••• S••••••••• •••• L•• | Jan 17, 2003 | Jan 17, 2003 | 0 | Bulk transfer | Other |