DFX Intelligence
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Advisor at C•••••••
Sacramento, 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 |
|---|---|---|---|---|---|---|
| C••••••• | Institutional manager | Jan 25, 2021 | n/a | yes | Sacramento, CA | Current employment |
| G••••••• B•••••• • B••••••• W••••• A•• R••••••••• P••• M•••• L•• | Former SEC adviser | Feb 5, 2020 | Mar 31, 2021 | no | Roseville, CA|SACRAMENTO, CA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| G••••••• B•••••• • B••••••• W••••• A•• R••••••••• P••• M•••• L•• | C••••••• | Mar 31, 2021 | Jan 25, 2021 | -65 | Firm change after gap | Other |
| F••••••• P••••••• A•• W•••••••• A••••••• | G••••••• B•••••• • B••••••• W••••• A•• R••••••••• P••• M•••• L•• | Feb 4, 2020 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 105698:175112:CA:2021-03-31 | Mar 31, 2021 | Jan 25, 2021 | SACRAMENTO, CA | Firm change after gap |
| F••••••• P••••••• A•• W•••••••• A••••••• | Former SEC adviser | Jul 13, 2018 | Feb 4, 2020 | no | BOSTON, MA | Previous registration |
| S•••••••• A••••••• L•• | National bd RIA | Jun 26, 2007 | Jul 13, 2018 | no | WALNUT CREEK, CA|ROSEVILLE, CA|ROSEVILLE, CA | Previous registration |
| 1 |
| Firm change |
| Ibd to RIA |
| S•••••••• A••••••• L•• | F••••••• P••••••• A•• W•••••••• A••••••• | Jul 13, 2018 | Jul 13, 2018 | 0 | Bulk transfer | Ibd to new firm |