DFX Intelligence
Reading the graph
Reading the graph
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Advisor at C••••• P••••••• L••
GREENBRAE, CA | NEW YORK, NY
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••••• P••••••• L•• | Independent wealth | Sep 3, 2024 | n/a | yes | NEW YORK, NY|GREENBRAE, CA | Current employment |
| A••••• C••••••• L•• | Former SEC adviser | Jul 13, 2015 | Sep 10, 2024 | no | GREENBRAE, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| A••••• C••••••• L•• | C••••• P••••••• L•• | Sep 10, 2024 | Sep 3, 2024 | -7 | Firm change | RIA to RIA |
| G•• A••••••• S•••••••• L•• | A••••• C••••••• L•• | Jan 7, 2015 | Jul 13, 2015 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 272029:151559:CA:2024-09-10 | Sep 10, 2024 | Sep 3, 2024 | GREENBRAE, CA | Firm change |
| G•• A••••••• S•••••••• L•• | Asset manager | Mar 26, 2014 | Jan 7, 2015 | no | SAN FRANCISCO, CA|GREENWICH, CT | Previous registration |
| C•• C•••••• M••••••••• I•• | n/a | Mar 1, 2010 | Jun 9, 2011 | no | n/a | Previous registration |
| T•••••••• W••••• A••••••• | n/a | Mar 20, 2008 | Apr 13, 2010 | no | SAN RAFAEL, CA | Previous registration |
| Firm change |
| Other |
| C•• C•••••• M••••••••• I•• | G•• A••••••• S•••••••• L•• | Jun 9, 2011 | Mar 26, 2014 | 1,021 | Firm change after gap | Other |
| T•••••••• W••••• A••••••• | C•• C•••••• M••••••••• I•• | Apr 13, 2010 | Mar 1, 2010 | -43 | Firm change after gap | Other |