DFX Intelligence
Reading the graph
Reading the graph
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Advisor at R•••••••• L••
••• 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 |
|---|---|---|---|---|---|---|
| R•••••••• L•• | Independent wealth | Jul 28, 2016 | n/a | yes | PALO ALTO, CA|El Dorado Hills, CA | Current employment |
| I••••••••• W••••• C••••••• L•• | Former SEC adviser | Dec 12, 2012 | Sep 5, 2014 | no | RENO, NV | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| I••••••••• W••••• C••••••• L•• | R•••••••• L•• | Sep 5, 2014 | Jul 28, 2016 | 692 | Firm change after gap | Other |
| O••••••••• A•••• M••••••••• | I••••••••• W••••• C••••••• L•• | Feb 13, 2004 | Dec 12, 2012 |
| O••••••••• A•••• M••••••••• | Bd affiliated wealth | Apr 15, 2003 | Feb 13, 2004 | no | NEW YORK, NY | Previous registration |
| O••••••••• • C•• I••• | Bd affiliated wealth | Jan 3, 2003 | Apr 15, 2003 | no | SAN FRANCISCO, CA | Previous registration |
| C••• W•••• M•••••• C•••• | n/a | Dec 10, 2002 | Jan 3, 2003 | no | SAN FRANCISCO, CA | Previous registration |
| W•••• F•••• I••••••••• L•• | n/a | Jun 6, 2002 | Jan 7, 2003 | no | SAN FRANCISCO, CA | Previous registration |
| 3,225 |
| Firm change after gap |
| Other |
| O••••••••• • C•• I••• | O••••••••• A•••• M••••••••• | Apr 15, 2003 | Apr 15, 2003 | 0 | Bulk transfer | Other |
| W•••• F•••• I••••••••• L•• | C••• W•••• M•••••• C•••• | Jan 7, 2003 | Dec 10, 2002 | -28 | Firm change | Other |
| C••• W•••• M•••••• C•••• | O••••••••• • C•• I••• | Jan 3, 2003 | Jan 3, 2003 | 0 | Bulk transfer | Other |