DFX Intelligence
Reading the graph
Reading the graph
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Advisor at S•••••••• A••••••• L••
SAN FRANCISCO, 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 |
|---|---|---|---|---|---|---|
| S•••••••• A••••••• L•• | National bd RIA | Mar 31, 2025 | n/a | yes | SAN FRANCISCO, CA | Current employment |
| F••••••• P••••••• A•• W•••••••• A••••••• | Former SEC adviser | May 2, 2019 | Mar 31, 2025 | no | SAN FRANCISCO, CA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| F••••••• P••••••• A•• W•••••••• A••••••• | S•••••••• A••••••• L•• | Mar 31, 2025 | Mar 31, 2025 | 0 | Bulk transfer | Ibd to ibd |
| C•••••• S••••• • C••• I••• | F••••••• P••••••• A•• W•••••••• A••••••• | Mar 4, 2019 | May 2, 2019 |
| C•••••• S••••• • C••• I••• | National bd RIA | Aug 28, 2013 | Mar 4, 2019 | no | San Francisco, CA | Previous registration |
| W•••• F•••• A••••••• | Wirehouse | Jan 3, 2011 | Aug 6, 2013 | no | SAN FRANCISCO, CA|SAN MATEO, CA|PALO ALTO, CA | Previous registration |
| W•••• F•••• I••••••••• L•• | n/a | Mar 12, 2010 | Jan 3, 2011 | no | SAN FRANCISCO, CA|SAN FRANCISCO, CA | Previous registration |
| 59 |
| Firm change |
| Ibd to ibd |
| W•••• F•••• A••••••• | C•••••• S••••• • C••• I••• | Aug 6, 2013 | Aug 28, 2013 | 22 | Firm change | Wirehouse to ibd |
| W•••• F•••• I••••••••• L•• | W•••• F•••• A••••••• | Jan 3, 2011 | Jan 3, 2011 | 0 | Bulk transfer | Other |