DFX Intelligence
Reading the graph
Reading the graph
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Advisor at S•• L••• W••••• A•••••••
SAN L••• OBISPO, 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•• L••• W••••• A••••••• | Independent wealth | Sep 3, 2025 | n/a | yes | SAN L••• OBISPO, CA | Current employment |
| C•••• P•••••• W••••• A•••••••• L•• | Independent wealth | Oct 19, 2020 | Oct 3, 2025 | no | SAN L••• OBISPO, CA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| C•••• P•••••• W••••• A•••••••• L•• | S•• L••• W••••• A••••••• | Oct 3, 2025 | Sep 3, 2025 | -30 | Firm change | RIA to RIA |
| L•• F•••••••• L•• | C•••• P•••••• W••••• A•••••••• L•• | Sep 29, 2020 | Oct 19, 2020 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 310825:309506:CA:2025-10-03 | Oct 3, 2025 | Sep 3, 2025 | SAN L••• OBISPO, CA | Firm change |
| L•• F•••••••• L•• | Bd affiliated wealth | Aug 2, 2019 | Sep 29, 2020 | no | SAN L••• OBISPO, CA | Previous registration |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Wirehouse | Dec 7, 2018 | Jul 16, 2019 | no | SAN L••• OBISPO, CA|NEW YORK, NY | Previous registration |
| 20 |
| Firm change |
| Ibd to new firm |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | L•• F•••••••• L•• | Jul 16, 2019 | Aug 2, 2019 | 17 | Firm change | Wirehouse to RIA |