DFX Intelligence
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Reading the graph
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Advisor at W•••••• W••••• M••••••••• L••
Roseville, 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 |
|---|---|---|---|---|---|---|
| W•••••• W••••• M••••••••• L•• | Independent wealth | Jan 9, 2025 | n/a | yes | Roseville, CA | Current employment |
| A••••••• A••••••• S•••••••• L•• | Bd affiliated wealth | Nov 1, 2021 | Jan 14, 2025 | no | ROSEVILLE, CA|Roseville, CA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| A••••••• A••••••• S•••••••• L•• | W•••••• W••••• M••••••••• L•• | Jan 14, 2025 | Jan 9, 2025 | -5 | Firm change | Ibd to RIA |
| A••••••• A••••••• S••••••• | A••••••• A••••••• S•••••••• L•• | Nov 1, 2021 | Nov 1, 2021 |
| A••••••• A••••••• S••••••• | Former SEC adviser | Oct 8, 2020 | Nov 1, 2021 | no | ROSEVILLE, CA|Glendale, AZ|Austin, TX|Lincoln, NE|Roseville, CA|Omaha, NE | Previous registration |
| E••••• J•••• | National bd RIA | Mar 8, 2010 | Oct 13, 2020 | no | FAIR OAKS, CA|Carmichael, CA|ST LOUIS, MO|FAIR OAKS, CA | Previous registration |
| 0 |
| Bulk transfer |
| Ibd to ibd |
| E••••• J•••• | A••••••• A••••••• S••••••• | Oct 13, 2020 | Oct 8, 2020 | -5 | Firm change | Ibd to RIA |