DFX Intelligence
Reading the graph
Reading the graph
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Advisor at A•••• F•••••••• G••••
WILTON, 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•••••••• G•••• | State registered | Jun 1, 2026 | n/a | yes | WILTON, CA | Current employment |
| F••••••••• I••••••••• A••••••• L•• | Independent wealth | Jun 20, 2025 | May 29, 2026 | no | Wilton, CA|PHOENIX, AZ |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| F••••••••• I••••••••• A••••••• L•• | A•••• F•••••••• G•••• | May 29, 2026 | Jun 1, 2026 | 3 | Firm change | RIA to state RIA |
| C•••••••• I••••••••• R••••••• A•••••••• I••• | F••••••••• I••••••••• A••••••• L•• | Oct 3, 2024 | Oct 7, 2024 |
| F••••••••• I••••••••• A••••••• L•• | Independent wealth | Oct 7, 2024 | Jun 20, 2025 | no | Wilton, CA|PHOENIX, AZ|RIPON, CA | Previous registration |
| C•••••••• I••••••••• R••••••• A•••••••• I••• | Bd affiliated wealth | May 2, 2016 | Oct 3, 2024 | no | Elk Grove, CA|Wilton, CA | Previous registration |
| T•• R••••••••• G••••• L•• | Former SEC adviser | Jan 14, 2015 | Aug 23, 2016 | no | ELK GROVE, CA|SAN DIEGO, CA | Previous registration |
| O• I••••••••• M••••••••• C• | Bd affiliated wealth | Apr 1, 2008 | Dec 9, 2014 | no | ELK GROVE, CA|CINCINNATI, OH | Previous registration |
| A••••••• A••••••• S••••••• | Former SEC adviser | May 12, 2005 | Nov 17, 2006 | no | ELK GROVE, CA|ELK GROVE, CA|Sacramento, CA | Previous registration |
| F•• A•••••••• I••• | Asset manager | Jan 26, 2000 | Jan 26, 2004 | no | SACRAMENTO, CA | Previous registration |
| 4 |
| Firm change |
| Ibd to RIA |
| T•• R••••••••• G••••• L•• | C•••••••• I••••••••• R••••••• A•••••••• I••• | Aug 23, 2016 | May 2, 2016 | -113 | Firm change after gap | Other |
| O• I••••••••• M••••••••• C• | T•• R••••••••• G••••• L•• | Dec 9, 2014 | Jan 14, 2015 | 36 | Firm change | Other |
| A••••••• A••••••• S••••••• | O• I••••••••• M••••••••• C• | Nov 17, 2006 | Apr 1, 2008 | 501 | Firm change after gap | Other |
| F•• A•••••••• I••• | A••••••• A••••••• S••••••• | Jan 26, 2004 | May 12, 2005 | 472 | Firm change after gap | Other |