DFX Intelligence
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Reading the graph
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Advisor at S••••• G••••• I••••••••• L••
Bountiful, UT
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••••• G••••• I••••••••• L•• | Mixed wealth | Mar 18, 2021 | n/a | yes | Bountiful, UT | Current employment |
| P•••••••• P•••••••• L•• | Former SEC adviser | Dec 19, 2007 | Mar 17, 2021 | no | SAN RAMON, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| P•••••••• P•••••••• L•• | S••••• G••••• I••••••••• L•• | Mar 17, 2021 | Mar 18, 2021 | 1 | Firm change | RIA to RIA |
| C••••• S••••• S••••••••• •••• L•• | P•••••••• P•••••••• L•• | Aug 24, 2004 | Dec 19, 2007 |
| C••••• S••••• S••••••••• •••• L•• | Former SEC adviser | Jan 17, 2003 | Aug 24, 2004 | no | SAN FRANCISCO, CA | Previous registration |
| P••••••• L•• | n/a | Sep 2, 1997 | Jan 17, 2003 | no | SAN FRANCISCO, CA | Previous registration |
| 1,212 |
| Firm change after gap |
| Other |
| P••••••• L•• | C••••• S••••• S••••••••• •••• L•• | Jan 17, 2003 | Jan 17, 2003 | 0 | Bulk transfer | Other |