DFX Intelligence
Reading the graph
Reading the graph
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Advisor at P••••••• A•••••••• L••
••• Locked
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 |
|---|---|---|---|---|---|---|
| P••••••• A•••••••• L•• | Independent wealth | Jun 15, 2026 | n/a | yes | WALNUT CREEK, CA|SAN FRANCISCO, CA | Current employment |
| A•••••• | Independent wealth | Oct 30, 2025 | n/a | yes | DALLAS, TX|Walnut Creek, CA | Current employment |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| C••••••• A••••••• S•••••••• L•• | A•••••• | Dec 16, 2021 | Oct 30, 2025 | 1,414 | Firm change after gap | RIA to RIA |
| C••••• A••••••• L•• | C••••••• A••••••• S•••••••• L•• | Jul 10, 2019 | Jun 5, 2018 |
| C••••••• A••••••• S•••••••• L•• |
| Former SEC adviser |
| Jun 5, 2018 |
| Dec 16, 2021 |
| no |
| Danville, CA|PORTLAND, OR |
| Previous registration |
| C••••• A••••••• L•• | Former SEC adviser | Feb 28, 2012 | Jul 10, 2019 | no | DANVILLE, CA|PORTLAND, OR | Previous registration |
| P•••••• W••• F•••••••• C••••••••• I•• | Former SEC adviser | Jul 16, 2008 | Feb 28, 2012 | no | RENTON, WA | Previous registration |
| -400 |
| Firm change after gap |
| Ibd to RIA |
| P•••••• W••• F•••••••• C••••••••• I•• | C••••• A••••••• L•• | Feb 28, 2012 | Feb 28, 2012 | 0 | Bulk transfer | Other |