DFX Intelligence
Reading the graph
Reading the graph
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Advisor at A••••••• F••••••••• L•••
Chico, CA | FOLSOM, 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 |
|---|---|---|---|---|---|---|
| A••••••• F••••••••• L••• | Bd affiliated wealth | Dec 9, 2024 | n/a | yes | Chico, CA|FOLSOM, CA | Current employment |
| R••• W••••• M••••••••• | Former SEC adviser | Aug 9, 2018 | Mar 31, 2025 | no | YUBA CITY, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| R••• W••••• M••••••••• | A••••••• F••••••••• L••• | Mar 31, 2025 | Dec 9, 2024 | -112 | Firm change after gap | RIA to ibd |
| O•••• W•••••• I••• | R••• W••••• M••••••••• | Dec 4, 2024 | Aug 9, 2018 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 296851:111167:CA:2025-03-31 | Mar 31, 2025 | Dec 9, 2024 | YUBA CITY, CA | Firm change after gap |
| 23131:296851:CA:2024-12-04 | Dec 4, 2024 | Aug 9, 2018 | YUBA CITY, CA | Firm change after gap |
| O•••• W•••••• I••• | Bd affiliated wealth | Jan 20, 2016 | Dec 4, 2024 | no | YUBA CITY, CA | Previous registration |
| O•••• F•• I••• | Former SEC adviser | Sep 18, 2014 | Jan 25, 2016 | no | CHICO, CA|DENVER, CO|Chico, CA | Previous registration |
| L••••• B• D••••• | n/a | Mar 25, 2010 | May 2, 2015 | no | CHICO, CA | Previous registration |
| C•••••••• F•••••••• G•••• A••••••• | Former SEC adviser | Mar 18, 2009 | Jan 28, 2010 | no | CHICO, CA|Birmingham, AL|CHICO, CA | Previous registration |
| L••••• B• D••••• | n/a | Jan 2, 2009 | Dec 31, 2009 | no | CHICO, CA | Previous registration |
| L•• F•••••••• L•• | Bd affiliated wealth | Jan 12, 2007 | Feb 12, 2009 | no | CHICO, CA|CHICO, CA | Previous registration |
| M•• I•••••••• S•••••••• L•• | Bd affiliated wealth | Oct 25, 2005 | Jan 18, 2007 | no | CHICO, CA|CHICO, CA | Previous registration |
| -2,309 |
| Firm change after gap |
| Ibd to RIA |
| O•••• F•• I••• | O•••• W•••••• I••• | Jan 25, 2016 | Jan 20, 2016 | -5 | Firm change | Other |
| L••••• B• D••••• | O•••• F•• I••• | May 2, 2015 | Sep 18, 2014 | -226 | Firm change after gap | Other |
| C•••••••• F•••••••• G•••• A••••••• | L••••• B• D••••• | Jan 28, 2010 | Mar 25, 2010 | 56 | Firm change | Other |
| L••••• B• D••••• | C•••••••• F•••••••• G•••• A••••••• | Dec 31, 2009 | Mar 18, 2009 | -288 | Firm change after gap | Other |
| L•• F•••••••• L•• | L••••• B• D••••• | Feb 12, 2009 | Jan 2, 2009 | -41 | Firm change after gap | Other |
| M•• I•••••••• S•••••••• L•• | L•• F•••••••• L•• | Jan 18, 2007 | Jan 12, 2007 | -6 | Firm change | Other |