DFX Intelligence
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Reading the graph
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Advisor at L•• F•••••••• L••
Redwood City, CA | SAN DIEGO, 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 |
|---|---|---|---|---|---|---|
| L•• F•••••••• L•• | Bd affiliated wealth | Jun 12, 2024 | n/a | yes | Redwood City, CA|SAN DIEGO, CA | Current employment |
| W•••••• I••••••••• S••••••••• | Former SEC adviser | Sep 21, 2017 | Jun 17, 2024 | no | Redwood City, CA|Newport Beach, CA|Campbell, CA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| W•••••• I••••••••• S••••••••• | L•• F•••••••• L•• | Jun 17, 2024 | Jun 12, 2024 | -5 | Firm change | Ibd to ibd |
| F•••••••• W••• G•••• | W•••••• I••••••••• S••••••••• | Aug 30, 2017 | Sep 21, 2017 |
| F•••••••• W••• G•••• | Former SEC adviser | Jun 27, 2008 | Aug 30, 2017 | no | SAN FRANCISCO, CA|Redwood City, CA|LOS ANGELES, CA | Previous registration |
| R•• C•••••• M••••••• L•• | National bd RIA | May 14, 2002 | Jun 19, 2002 | no | SAN FRANCISCO, CA | Previous registration |
| 22 |
| Bulk transfer |
| Other |
| R•• C•••••• M••••••• L•• | F•••••••• W••• G•••• | Jun 19, 2002 | Jun 27, 2008 | 2,200 | Firm change after gap | Other |