DFX Intelligence
Reading the graph
Reading the graph
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Advisor at D••••••• A•••••••• L••
CHAPEL HILL, NC
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••••••• A•••••••• L•• | Independent wealth | Apr 22, 2022 | n/a | yes | CHAPEL HILL, NC | Current employment |
| B•••••••• R••••• • F•••••••• I••• | Independent wealth | Jun 24, 2004 | Feb 13, 2012 | no | MENLO PARK, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| B•••••••• R••••• • F•••••••• I••• | D••••••• A•••••••• L•• | Feb 13, 2012 | Apr 22, 2022 | 3,721 | Firm change after gap | Other |
| C••••• S••••• S••••••••• •••• L•• | B•••••••• R••••• • F•••••••• I••• | Oct 28, 2003 | Jun 24, 2004 |
| C••••• S••••• S••••••••• •••• L•• | Former SEC adviser | Jan 17, 2003 | Oct 28, 2003 | no | SAN FRANCISCO, CA | Previous registration |
| P••••••• L•• | n/a | Sep 2, 1997 | Jan 17, 2003 | no | SAN FRANCISCO, CA | Previous registration |
| 240 |
| Firm change |
| Other |
| P••••••• L•• | C••••• S••••• S••••••••• •••• L•• | Jan 17, 2003 | Jan 17, 2003 | 0 | Bulk transfer | Other |