DFX Intelligence
Reading the graph
Reading the graph
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Advisor at L•• F•••••••• L••
OAKLAND, 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 | Jan 1, 2026 | n/a | yes | OAKLAND, CA | Current employment |
| W•••••• I••••••••• S••••••••• | Former SEC adviser | Jan 5, 2015 | Jun 5, 2025 | no | Santa Rosa, CA|Oakland, CA|Crystal Bay, NV |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| W•••••• I••••••••• S••••••••• | L•• F•••••••• L•• | Jun 5, 2025 | Jan 1, 2026 | 210 | Bulk transfer | Ibd to ibd |
| G•• A••••••• | W•••••• I••••••••• S••••••••• | Dec 31, 2014 | Jan 5, 2015 |
| G•• A••••••• | Former SEC adviser | Feb 14, 2014 | Dec 31, 2014 | no | OAKLAND, CA|SANTA ROSA, CA | Previous registration |
| G•• A••••••• | Former SEC adviser | Dec 23, 2013 | Dec 31, 2013 | no | OAKLAND, CA|SANTA ROSA, CA | Previous registration |
| G•• A••••••• | Former SEC adviser | Mar 11, 2011 | Dec 13, 2013 | no | OAKLAND, CA|SANTA ROSA, CA|SANTA ROSA, CA | Previous registration |
| S••••••••• A•••••• A•••••••• I••• | Former SEC adviser | Jan 8, 2009 | Feb 15, 2011 | no | OAKLAND, CA | Previous registration |
| E•••••••• A••••••• I•• | n/a | Nov 21, 2005 | Dec 31, 2008 | no | ROSEVILLE, CA | Previous registration |
| A••••••• A••••••• S••••••• | Former SEC adviser | Sep 30, 2004 | Dec 16, 2005 | no | OAKLAND, CA | Previous registration |
| T•• A••••••• G••••• I••• | n/a | Jan 7, 2003 | Sep 30, 2004 | no | OAKLAND, CA | Previous registration |
| 5 |
| Firm change |
| Other |
| S••••••••• A•••••• A•••••••• I••• | G•• A••••••• | Feb 15, 2011 | Mar 11, 2011 | 24 | Firm change | Other |
| E•••••••• A••••••• I•• | S••••••••• A•••••• A•••••••• I••• | Dec 31, 2008 | Jan 8, 2009 | 8 | Firm change | Other |
| A••••••• A••••••• S••••••• | E•••••••• A••••••• I•• | Dec 16, 2005 | Nov 21, 2005 | -25 | Firm change | Other |
| T•• A••••••• G••••• I••• | A••••••• A••••••• S••••••• | Sep 30, 2004 | Sep 30, 2004 | 0 | Firm change | Other |