DFX Intelligence
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Reading the graph
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Advisor at O•••• W•••••• I•••
SAN JOSE, 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 |
|---|---|---|---|---|---|---|
| O•••• W•••••• I••• | Bd affiliated wealth | Jun 14, 2024 | n/a | yes | SAN JOSE, CA | Current employment |
| S••••••••• A•••••• A•••••••• I••• | Former SEC adviser | Jan 23, 2009 | Jun 14, 2024 | no | SAN JOSE, CA|SAN JOSE, CA|SAN JOSE, CA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| S••••••••• A•••••• A•••••••• I••• | O•••• W•••••• I••• | Jun 14, 2024 | Jun 14, 2024 | 0 | Bulk transfer | Ibd to ibd |
| B••••• • Y•••• A•••••••• I••• | S••••••••• A•••••• A•••••••• I••• | Jan 23, 2009 | Jan 23, 2009 |
| B••••• • Y•••• A•••••••• I••• | Former SEC adviser | Jul 21, 2006 | Jan 23, 2009 | no | FOLSOM, CA|FOLSOM, CA|FOLSOM, CA|SAN JOSE, CA | Previous registration |
| B••• O• A•••••• I••••••••• S•••••••• I••• | n/a | Mar 22, 2002 | Jul 24, 2006 | no | MORGAN HILL, CA|MORGAN HILL, CA | Previous registration |
| 0 |
| Bulk transfer |
| Other |
| B••• O• A•••••• I••••••••• S•••••••• I••• | B••••• • Y•••• A•••••••• I••• | Jul 24, 2006 | Jul 21, 2006 | -3 | Firm change | Other |