DFX Intelligence
Reading the graph
Reading the graph
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Advisor at L•• F•••••••• L••
WALNUT CREEK, 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 |
|---|---|---|---|---|---|---|
| L•• F•••••••• L•• | Bd affiliated wealth | Dec 11, 2025 | n/a | yes | WALNUT CREEK, CA | Current employment |
| F•••• C••••••• I••••••• S•••••••• I••• | Bd affiliated wealth | May 29, 2025 | Nov 3, 2025 | no | San Francisco, CA|Pasadena, CA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| S•• W••••• | S•• I••••••••• S••••••• I••• | Nov 3, 2025 | Aug 31, 2021 | -1,525 | Firm change after gap | RIA to ibd |
| F•••• C••••••• I••••••• S•••••••• I••• | L•• F•••••••• L•• | Nov 3, 2025 | Dec 11, 2025 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 44430:6413:CA:2025-10-30 | Nov 3, 2025 | Dec 11, 2025 | PASADENA, CA | Firm change |
| S•• I••••••••• S••••••• I••• | Former SEC adviser | Aug 31, 2021 | Jul 29, 2022 | no | SAN FRANCISCO, CA|San Francisco, CA | Previous registration |
| S•• W••••• | Independent wealth | Aug 6, 2021 | Nov 3, 2025 | no | San Francisco, CA|San Francisco, CA|San Francisco, CA | Previous registration |
| U••••• C•••••• F•••••••• A••••••• | Independent wealth | Sep 19, 2012 | Mar 6, 2013 | no | SAN FRANCISCO, CA | Previous registration |
| G•••••• S•••• W••••• S•••••••• L••• | Bd affiliated wealth | Apr 25, 2011 | Jun 14, 2012 | no | IRVINE, CA | Previous registration |
| C•••• I••••••••• S••••••• C•••• | Former SEC adviser | Jan 26, 2005 | Jun 20, 2006 | no | NEW YORK, NY|NEW YORK, NY | Previous registration |
| C•••• I••••••••• S••••••• C•••• | Former SEC adviser | Feb 19, 2004 | Dec 31, 2004 | no | NEW YORK, NY | Previous registration |
| 38 |
| Firm change |
| Ibd to ibd |
| S•• I••••••••• S••••••• I••• | F•••• C••••••• I••••••• S•••••••• I••• | Jul 29, 2022 | May 29, 2025 | 1,035 | Firm change after gap | Ibd to ibd |
| U••••• C•••••• F•••••••• A••••••• | S•• W••••• | Mar 6, 2013 | Aug 6, 2021 | 3,075 | Firm change after gap | Other |
| G•••••• S•••• W••••• S•••••••• L••• | U••••• C•••••• F•••••••• A••••••• | Jun 14, 2012 | Sep 19, 2012 | 97 | Firm change | Other |
| C•••• I••••••••• S••••••• C•••• | G•••••• S•••• W••••• S•••••••• L••• | Jun 20, 2006 | Apr 25, 2011 | 1,770 | Firm change after gap | Other |