DFX Intelligence
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Reading the graph
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Advisor at C••••••
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 |
|---|---|---|---|---|---|---|
| C•••••• | Independent wealth | Jun 29, 2026 | n/a | yes | San Francisco, CA | Current employment |
| V•••••• C•••••• M••••••••• L• | Former SEC adviser | Sep 23, 2019 | Jun 17, 2026 | no | CHICAGO, IL|Los Gatos, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| V•••••• C•••••• M••••••••• L• | C•••••• | Jun 17, 2026 | Jun 29, 2026 | 12 | Firm change | RIA to RIA |
| J••• M••••• S••••••••• L•• | V•••••• C•••••• M••••••••• L• | Sep 11, 2019 | Sep 23, 2019 |
| J••• M••••• S••••••••• L•• | Wirehouse | Oct 1, 2012 | Sep 11, 2019 | no | LOS GATOS, CA|LOS GATOS, CA|LOS GATOS, CA | Previous registration |
| C•••• I••••••••• S••••••• C•••• | Former SEC adviser | Mar 6, 2012 | Oct 1, 2012 | no | MOUNTAIN VIEW, CA|MOUNTAIN VIEW, CA|LOS GATOS, CA|LOS GATOS, CA|LOS GATOS, CA | Previous registration |
| J••• M••••• S••••••••• L•• | Wirehouse | Feb 9, 2010 | Mar 6, 2012 | no | OAKBROOK TERRACE, IL | Previous registration |
| R•••••• J•••• F•••••••• S••••••• A•••••••• I•• | Bd affiliated wealth | Feb 23, 2009 | Jan 14, 2010 | no | LISLE, IL|SAINT PETERSBURG, FL | Previous registration |
| C•••••••• G••••• M•••••• I••• | Bd affiliated wealth | Apr 26, 2007 | Mar 10, 2009 | no | OAKBROOK TERRACE, IL | Previous registration |
| 12 |
| Firm change |
| Wirehouse to RIA |
| C•••• I••••••••• S••••••• C•••• | J••• M••••• S••••••••• L•• | Oct 1, 2012 | Oct 1, 2012 | 0 | Bulk transfer | Other |
| J••• M••••• S••••••••• L•• | C•••• I••••••••• S••••••• C•••• | Mar 6, 2012 | Mar 6, 2012 | 0 | Firm change | Other |
| R•••••• J•••• F•••••••• S••••••• A•••••••• I•• | J••• M••••• S••••••••• L•• | Jan 14, 2010 | Feb 9, 2010 | 26 | Firm change | Other |
| C•••••••• G••••• M•••••• I••• | R•••••• J•••• F•••••••• S••••••• A•••••••• I•• | Mar 10, 2009 | Feb 23, 2009 | -15 | Firm change | Other |