DFX Intelligence
Reading the graph
Reading the graph
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Advisor at C•••••••• I••••••••• R••••••• A•••••••• I•••
Walnut Creek, CA | Martinez, 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•••••••• I••••••••• R••••••• A•••••••• I••• | Bd affiliated wealth | Jun 23, 2025 | n/a | yes | Walnut Creek, CA|Martinez, CA | Current employment |
| P•••• W••••• A••••••• L•• | Independent wealth | Jul 30, 2024 | Dec 17, 2025 | no | WINDERMERE, FL|Martinez, CA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| P•••• W••••• A••••••• L•• | C•••••••• I••••••••• R••••••• A•••••••• I••• | Dec 17, 2025 | Jun 23, 2025 | -177 | Firm change after gap | RIA to ibd |
| A••••••• F•••••••• A•••••••• L•• | P•••• W••••• A••••••• L•• | Jun 30, 2017 | Jul 30, 2024 |
| A••••••• F•••••••• A•••••••• L•• | Bd affiliated wealth | May 27, 2016 | Jun 30, 2017 | no | Pleasant Hill, CA | Previous registration |
| M•• F•••••••• S•••••••• I••• | Former SEC adviser | May 19, 2014 | May 18, 2016 | no | WALNUT CREEK, CA | Previous registration |
| N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• | Former SEC adviser | Mar 26, 2004 | Jun 13, 2014 | no | SAN FRANCISCO, CA|SAN MATEO, CA|SAN JOSE, CA|CUPERTINO, CA|FAIRFIELD, CA|SACRAMENTO, CA|SANTA ROSA, CA|SONOMA, CA|SEASIDE, CA|LARKSPUR, CA|PLEASANTON, CA|SAN BRUNO, CA|SAN RAFAEL, CA|SCOTTS VALLEY, CA|WALNUT CREEK, CA|TOPEKA, KS|Lawrence, KS | Previous registration |
| I••••••••• W••••• A•••••••• I••• | n/a | Apr 30, 2002 | Dec 4, 2009 | no | TOPEKA, KS | Previous registration |
| L••••• A••••••• S•••••••• I••• | n/a | Mar 27, 2000 | Mar 29, 2004 | no | TOPEKA, KS | Previous registration |
| 2,587 |
| Firm change after gap |
| Other |
| M•• F•••••••• S•••••••• I••• | A••••••• F•••••••• A•••••••• L•• | May 18, 2016 | May 27, 2016 | 9 | Firm change | Other |
| N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• | M•• F•••••••• S•••••••• I••• | Jun 13, 2014 | May 19, 2014 | -25 | Firm change | Other |
| I••••••••• W••••• A•••••••• I••• | N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• | Dec 4, 2009 | Mar 26, 2004 | -2,079 | Firm change after gap | Other |
| L••••• A••••••• S•••••••• I••• | I••••••••• W••••• A•••••••• I••• | Mar 29, 2004 | Apr 30, 2002 | -699 | Firm change after gap | Other |