DFX Intelligence
Data Factory
Reading the graph
Reading the graph
Advisor at CASTLE ROCK WEALTH MANAGEMENT, LLC
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 |
|---|---|---|---|---|---|---|
| CASTLE ROCK WEALTH MANAGEMENT, LLC | Independent wealth | Nov 17, 2016 | n/a | yes | WALNUT CREEK, CA | Current employment |
| FIRST ALLIED ADVISORY SERVICES, INC. | Former SEC adviser | Jul 2, 2012 | Feb 13, 2018 | no | SAN RAMON, CA|Suite 105, CA | Previous registration |
| FIRST ALLIED SECURITIES, INC. | Former SEC adviser | May 27, 2008 | Jul 2, 2012 | no | SAN RAMON, CA|SAN RAMON, CA|WALNUT CREEK, CA | Previous registration |
| PACIFIC ASSET MANAGEMENT GROUP | n/a | Jun 2, 2004 | Dec 31, 2015 | no | SAN RAMON, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| FIRST ALLIED ADVISORY SERVICES, INC. | CASTLE ROCK WEALTH MANAGEMENT, LLC | Feb 13, 2018 | Nov 17, 2016 | -453 | Firm change after gap | Other |
| PACIFIC ASSET MANAGEMENT GROUP | FIRST ALLIED SECURITIES, INC. | Dec 31, 2015 | May 27, 2008 | -2,774 | Firm change after gap | Other |
| FIRST ALLIED SECURITIES, INC. | FIRST ALLIED ADVISORY SERVICES, INC. | Jul 2, 2012 | Jul 2, 2012 | 0 | Bulk transfer | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 137888:199513:CA:2018-02-13 | Feb 13, 2018 | Nov 17, 2016 | SUITE , CA | Firm change after gap |