DFX Intelligence
Reading the graph
Reading the graph
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Advisor at C•••••• W••••• M••••••••• L••
San Francisco, CA | NAPERVILLE, IL
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 |
|---|---|---|---|---|---|---|
| C•••••• W••••• M••••••••• L•• | Independent wealth | Jan 6, 2026 | n/a | yes | NAPERVILLE, IL|San Francisco, CA | Current employment |
| S•••••••• A••••••• L•• | National bd RIA | Mar 31, 2025 | Jan 14, 2026 | no | WALNUT CREEK, CA|SAN FRANCISCO, CA|BOSTON, MA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| S•••••••• A••••••• L•• | C•••••• W••••• M••••••••• L•• | Jan 14, 2026 | Jan 6, 2026 | -8 | Firm change | Ibd to RIA |
| F••••••• P••••••• A•• W•••••••• A••••••• | S•••••••• A••••••• L•• | Mar 31, 2025 | Mar 31, 2025 |
| F••••••• P••••••• A•• W•••••••• A••••••• | Former SEC adviser | Aug 29, 2019 | Mar 31, 2025 | no | SAN FRANCISCO, CA | Previous registration |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Wirehouse | Oct 10, 2016 | Jul 22, 2019 | no | OAKLAND, CA|ALAMEDA, CA | Previous registration |
| 0 |
| Bulk transfer |
| Ibd to ibd |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | F••••••• P••••••• A•• W•••••••• A••••••• | Jul 22, 2019 | Aug 29, 2019 | 38 | Firm change | Wirehouse to ibd |