DFX Intelligence
Reading the graph
Reading the graph
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Advisor at C••••• I••••••••• A••••••• L••
CARMEL BY THE SEA, 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••••••••• A••••••• L•• | Bd affiliated wealth | Sep 5, 2025 | n/a | yes | CARMEL BY THE SEA, CA | Current employment |
| A•••••• A••••••• S••••••• | Former SEC adviser | Jun 6, 2025 | Sep 5, 2025 | no | DALLAS, TX|Carmel By The Sea, CA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| A•••••• A••••••• S••••••• | C••••• I••••••••• A••••••• L•• | Sep 5, 2025 | Sep 5, 2025 | 0 | Bulk transfer | Ibd to ibd |
| U••• B•••••• A•••••••• L•• | A•••••• A••••••• S••••••• | Jun 9, 2025 | Jun 6, 2025 |
| U••• B•••••• A•••••••• L•• | Bd affiliated wealth | Apr 5, 2017 | Jun 9, 2025 | no | Monterey, CA|Monterey, CA|Carmel, CA|PACIFIC GROVE, CA|CAPITOLA, CA|FELTON, CA|Watsonville, CA|ATASCADERO, CA|Capitola, CA|Freedom, CA|Aptos, CA | Previous registration |
| J••• M••••• S••••••••• L•• | Wirehouse | Jul 22, 2014 | Apr 12, 2017 | no | PACIFIC GROVE, CA|PACIFIC GROVE, CA|BERKELEY, CA | Previous registration |
| M••••••• I••••••••• M••••••••• ••• L•• | Asset manager | Dec 12, 2002 | Aug 11, 2005 | no | BOSTON, MA | Previous registration |
| J••• H•••••• I••••••••• M••••••••• L•• | Asset manager | Dec 12, 2002 | Aug 11, 2005 | no | BOSTON, MA | Previous registration |
| J• • W• S••••••• • C•• I••••••••• | n/a | Oct 27, 1997 | May 14, 2002 | no | NEW YORK, NY | Previous registration |
| -3 |
| Firm change |
| Ibd to ibd |
| J••• M••••• S••••••••• L•• | U••• B•••••• A•••••••• L•• | Apr 12, 2017 | Apr 5, 2017 | -7 | Firm change | Other |
| M••••••• I••••••••• M••••••••• ••• L•• | J••• M••••• S••••••••• L•• | Aug 11, 2005 | Jul 22, 2014 | 3,267 | Firm change after gap | Other |
| J••• H•••••• I••••••••• M••••••••• L•• | J••• M••••• S••••••••• L•• | Aug 11, 2005 | Jul 22, 2014 | 3,267 | Firm change after gap | Other |
| J• • W• S••••••• • C•• I••••••••• | J••• H•••••• I••••••••• M••••••••• L•• | May 14, 2002 | Dec 12, 2002 | 212 | Firm change | Other |