DFX Intelligence
Reading the graph
Reading the graph
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Advisor at S•••••• W••••• M••••••••• I•••
SAN RAFAEL, 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 |
|---|---|---|---|---|---|---|
| S•••••• W••••• M••••••••• I••• | Independent wealth | Nov 17, 2025 | n/a | yes | SAN RAFAEL, CA | Current employment |
| J••• M••••• P•••••• W••••• A••••••• L•• | Former SEC adviser | Sep 29, 2010 | Dec 18, 2012 | no | SAN FRANCISCO, CA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| J••• M••••• P•••••• W••••• A••••••• L•• | S•••••• W••••• M••••••••• I••• | Dec 18, 2012 | Nov 17, 2025 | 4,717 | Firm change after gap | Other |
| C••••• S••••• S••••••••• •••• L•• | J••• M••••• P•••••• W••••• A••••••• L•• | Mar 13, 2006 | Sep 29, 2010 |
| C••••• S••••• S••••••••• •••• L•• | Former SEC adviser | Aug 12, 2005 | Mar 13, 2006 | no | SAN FRANCISCO, CA | Previous registration |
| A• G• E•••••• • S•••• I••• | n/a | Mar 10, 2004 | Jul 19, 2005 | no | WALNUT CREEK, CA | Previous registration |
| U•• F•••••••• S••••••• I••• | Wirehouse | Mar 2, 2001 | Mar 10, 2003 | no | SAN FRANCISCO, CA | Previous registration |
| 1,661 |
| Firm change after gap |
| Other |
| A• G• E•••••• • S•••• I••• | C••••• S••••• S••••••••• •••• L•• | Jul 19, 2005 | Aug 12, 2005 | 24 | Firm change | Other |
| U•• F•••••••• S••••••• I••• | A• G• E•••••• • S•••• I••• | Mar 10, 2003 | Mar 10, 2004 | 366 | Firm change | Other |