DFX Intelligence
Reading the graph
Reading the graph
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Advisor at S••• R•••• C•••••• L••
MENLO PARK, 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••• R•••• C•••••• L•• | Independent wealth | Dec 15, 2017 | n/a | yes | MENLO PARK, CA | Current employment |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Wirehouse | Aug 2, 2012 | Dec 19, 2017 | no | PALO ALTO, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | S••• R•••• C•••••• L•• | Dec 19, 2017 | Dec 15, 2017 | -4 | Firm change | Wirehouse to new firm |
| B••• O• A•••••• I••••••••• S•••••••• I••• | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Oct 23, 2009 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 7691:290148:CA:2017-12-19 | Dec 19, 2017 | Dec 15, 2017 | PALO ALTO, CA | Firm change |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Wirehouse | Oct 23, 2009 | Jun 11, 2012 | no | LAGUNA NIGUEL, CA | Previous registration |
| B••• O• A•••••• I••••••••• S•••••••• I••• | n/a | Apr 13, 2009 | Oct 23, 2009 | no | NEWPORT BEACH, CA|LAGUNA NIGUEL, CA|NEWPORT BEACH, CA | Previous registration |
| 0 |
| Bulk transfer |
| Other |