DFX Intelligence
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Reading the graph
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Advisor at D••••• C••••••• I•••
NAPA, 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••••••• I••• | Independent wealth | May 22, 2015 | n/a | yes | NAPA, CA | Current employment |
| W•••• F•••• A••••••• | Wirehouse | May 22, 2009 | Jun 30, 2015 | no | NAPA, CA|ROSEVILLE, CA|ROSEVILLE, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| W•••• F•••• A••••••• | D••••• C••••••• I••• | Jun 30, 2015 | May 22, 2015 | -39 | Firm change after gap | Wirehouse to new firm |
| E••••• J•••• | W•••• F•••• A••••••• | May 29, 2009 | May 22, 2009 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 11025:177523:CA:2015-06-30 | Jun 30, 2015 | May 22, 2015 | ROSEVILLE, CA | Firm change after gap |
| E••••• J•••• | National bd RIA | May 2, 2007 | May 29, 2009 | no | SAINT HELENA, CA | Previous registration |
| -7 |
| Firm change |
| Ibd to wirehouse |