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 N••••••••
••• Locked
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 |
|---|---|---|---|---|---|---|
| N•••••••• | No RAUM reported | Jan 13, 2025 | n/a | yes | Folsom, CA|SAN DIEGO, CA | Current employment |
| F••••• W••••• A••••••• | State registered | Feb 29, 2024 | n/a | yes | CAMERON PARK, CA | Current employment |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| N••••••••• A••••••• | F••••• W••••• A••••••• | Dec 20, 2024 | Feb 29, 2024 | -295 | Firm change after gap | Other |
| O••••• I••••••••• A••••••• L•• | N••••••••• A••••••• | Nov 7, 2023 | Feb 29, 2024 |
| No RAUM reported |
| Feb 29, 2024 |
| Dec 20, 2024 |
| no |
| Folsom, CA|SCOTTSDALE, AZ |
| Previous registration |
| O••••• I••••••••• A••••••• L•• | Independent wealth | Feb 1, 2020 | Nov 7, 2023 | no | West Sacramento, CA | Previous registration |
| S••••••• F•••••••• P••••••• L•• | Former SEC adviser | Mar 26, 2017 | Mar 30, 2018 | no | DAVIS, CA | Previous registration |
| 114 |
| Firm change |
| RIA to new firm |
| S••••••• F•••••••• P••••••• L•• | O••••• I••••••••• A••••••• L•• | Mar 30, 2018 | Feb 1, 2020 | 673 | Firm change after gap | RIA to new firm |