DFX Intelligence
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Reading the graph
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Advisor at C••••• M••••••
San Jose, CA | IRVINE, 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 |
|---|---|---|---|---|---|---|
| C••••• M•••••• | Independent wealth | May 16, 2022 | n/a | yes | IRVINE, CA|San Jose, CA | Current employment |
| E•••••••• W••••• A••••••• G••••• L•• | Former SEC adviser | Apr 29, 2021 | Jun 22, 2022 | no | SAN JOSE, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| E•••••••• W••••• A••••••• G••••• L•• | C••••• M•••••• | Jun 22, 2022 | May 16, 2022 | -37 | Firm change after gap | RIA to RIA |
| A•••••• A••••••• S••••••• | E•••••••• W••••• A••••••• G••••• L•• | Apr 30, 2021 | Apr 29, 2021 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 140253:111458:CA:2022-06-22 | Jun 22, 2022 | May 16, 2022 | SAN JOSE, CA | Firm change after gap |
| A•••••• A••••••• S••••••• | Former SEC adviser | Oct 25, 2019 | Apr 30, 2021 | no | SAN JOSE, CA | Previous registration |
| 1•• G••••• A••••••• I•• | Former SEC adviser | Jan 30, 2017 | Oct 25, 2019 | no | San Jose, CA | Previous registration |
| -1 |
| Firm change |
| Ibd to RIA |
| 1•• G••••• A••••••• I•• | A•••••• A••••••• S••••••• | Oct 25, 2019 | Oct 25, 2019 | 0 | Bulk transfer | Ibd to ibd |