DFX Intelligence
Reading the graph
Reading the graph
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Advisor at E•••••••• W••••• P•••••••• 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 |
|---|---|---|---|---|---|---|
| E•••••••• W••••• P•••••••• L•• | Independent wealth | Jan 11, 2021 | n/a | yes | WALNUT CREEK, CA | Current employment |
| A••••••••• I••• | Bd affiliated wealth | Mar 21, 2019 | Apr 12, 2019 | no | CONCORD, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| A••••••••• I••• | E•••••••• W••••• P•••••••• L•• | Apr 12, 2019 | Jan 11, 2021 | 640 | Firm change after gap | Ibd to RIA |
| F•• A•••••••• I••• | A••••••••• I••• | Jan 25, 2019 | Mar 21, 2019 |
| F•• A•••••••• I••• | Asset manager | Dec 4, 2015 | Jan 25, 2019 | no | BERWYN, PA | Previous registration |
| S•• I••••••••• A•••••••• I••• | Former SEC adviser | May 21, 2014 | Apr 30, 2015 | no | FRESNO, CA | Previous registration |
| 55 |
| Firm change |
| Other |
| S•• I••••••••• A•••••••• I••• | F•• A•••••••• I••• | Apr 30, 2015 | Dec 4, 2015 | 218 | Firm change | Other |