DFX Intelligence
Reading the graph
Reading the graph
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Advisor at T•••• S•••• W••••• M••••••••• L••
MONTEREY, 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 |
|---|---|---|---|---|---|---|
| T•••• S•••• W••••• M••••••••• L•• | State registered | Apr 25, 2025 | n/a | yes | MONTEREY, CA | Current employment |
| I••••••• W••••• M••••••••• L•• | Independent wealth | Mar 10, 2020 | Mar 5, 2025 | no | MONTEREY, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| I••••••• W••••• M••••••••• L•• | T•••• S•••• W••••• M••••••••• L•• | Mar 5, 2025 | Apr 25, 2025 | 51 | Firm change | RIA to state RIA |
| G••••••• B•••••• • B••••••• W••••• A•• R••••••••• P••• M•••• L•• | I••••••• W••••• M••••••••• L•• | Apr 1, 2020 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 23131:105698:CA:2017-06-20 | Jun 21, 2017 | Jul 13, 2017 | SACRAMENTO, CA | Firm change |
| G••••••• B•••••• • B••••••• W••••• A•• R••••••••• P••• M•••• L•• | Former SEC adviser | Jul 13, 2017 | Apr 1, 2020 | no | SACRAMENTO, CA | Previous registration |
| O•••• W•••••• I••• | Bd affiliated wealth | Jun 1, 2017 | Jun 21, 2017 | no | SACRAMENTO, CA | Previous registration |
| -22 |
| Firm change |
| RIA to RIA |
| O•••• W•••••• I••• | G••••••• B•••••• • B••••••• W••••• A•• R••••••••• P••• M•••• L•• | Jun 21, 2017 | Jul 13, 2017 | 22 | Firm change | Other |