DFX Intelligence
Reading the graph
Reading the graph
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Advisor at J••• M••••• S••••••••• L••
DUBLIN, 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 |
|---|---|---|---|---|---|---|
| J••• M••••• S••••••••• L•• | Wirehouse | May 21, 2025 | n/a | yes | DUBLIN, CA | Current employment |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Wirehouse | May 4, 2023 | Mar 17, 2025 | no | CORTE MADERA, CA|NEW YORK, NY|GREENBRAE, CA|MILL VALLEY, CA|DANVILLE, CA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | J••• M••••• S••••••••• L•• | Mar 17, 2025 | May 21, 2025 | 65 | Firm change | Wirehouse to wirehouse |
| F••••••• P••••••• A•• W•••••••• A••••••• | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Sep 10, 2020 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 7691:79:CA:2025-02-27 | Mar 17, 2025 | May 21, 2025 | DANVILLE, CA | Firm change |
| F••••••• P••••••• A•• W•••••••• A••••••• | Former SEC adviser | Oct 28, 2019 | Sep 10, 2020 | no | DUBLIN, CA | Previous registration |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Wirehouse | Oct 28, 2016 | Oct 4, 2019 | no | SAN JOSE, CA|SAN JOSE, CA|SAN JOSE, CA|LAFAYETTE, CA | Previous registration |
| 966 |
| Firm change after gap |
| Ibd to wirehouse |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | F••••••• P••••••• A•• W•••••••• A••••••• | Oct 4, 2019 | Oct 28, 2019 | 24 | Firm change | Wirehouse to ibd |