DFX Intelligence
Reading the graph
Reading the graph
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Advisor at G•••• O•••• G••••• 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 |
|---|---|---|---|---|---|---|
| G•••• O•••• G••••• A••••••• L•• | Former SEC adviser | Feb 26, 2024 | n/a | yes | SAN FRANCISCO, CA | Current employment |
| F•••••••• C•••••• M••••••••• L•• | Independent wealth | Jul 23, 2018 | Jun 8, 2022 | no | SAN FRANCISCO, CA|SEATTLE, WA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| F•••••••• C•••••• M••••••••• L•• | G•••• O•••• G••••• A••••••• L•• | Jun 8, 2022 | Feb 26, 2024 | 628 | Firm change after gap | RIA to RIA |
| P•••••• W••••• A••••••• G•••• | F•••••••• C•••••• M••••••••• L•• | Jul 19, 2018 | Jul 23, 2018 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 127751:158718:CA:2016-07-25 | Jul 25, 2016 | Oct 12, 2012 | SAN RAFAEL, CA | Firm change after gap |
| P•••••• W••••• A••••••• G•••• | Former SEC adviser | Oct 12, 2012 | Jul 19, 2018 | no | SAN RAFAEL, CA | Previous registration |
| P•••••• E••••• M••••••••• I••• | Former SEC adviser | May 21, 2012 | Jul 25, 2016 | no | SAN RAFAEL, CA | Previous registration |
| T• A••••••••• I••••••••• M••••••••• L•• | Former SEC adviser | Feb 13, 2008 | Aug 8, 2011 | no | SAN FRANCISCO, CA | Previous registration |
| T• A••••••••• I••• | Former SEC adviser | Feb 13, 2008 | Aug 8, 2011 | no | SAN FRANCISCO, CA | Previous registration |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Wirehouse | Feb 6, 2006 | Jan 11, 2008 | no | SAN FRANCISCO, CA | Previous registration |
| 4 |
| Firm change |
| RIA to RIA |
| P•••••• E••••• M••••••••• I••• | P•••••• W••••• A••••••• G•••• | Jul 25, 2016 | Oct 12, 2012 | -1,382 | Firm change after gap | Other |
| T• A••••••••• I••• | T• A••••••••• I••••••••• M••••••••• L•• | Aug 8, 2011 | Feb 13, 2008 | -1,272 | Channel change | Other |
| T• A••••••••• I••••••••• M••••••••• L•• | T• A••••••••• I••• | Aug 8, 2011 | Feb 13, 2008 | -1,272 | Firm change after gap | Other |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | T• A••••••••• I••••••••• M••••••••• L•• | Jan 11, 2008 | Feb 13, 2008 | 33 | Firm change | Other |