DFX Intelligence
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Reading the graph
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Advisor at K•••••• F••••••
RICHMOND, 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 |
|---|---|---|---|---|---|---|
| K•••••• F•••••• | State registered | Sep 25, 2023 | n/a | yes | RICHMOND, CA | Current employment |
| N•••• B••••••• W••••• M••••••••• L•• | Independent wealth | Aug 4, 2021 | May 25, 2023 | no | B•••••••, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| N•••• B••••••• W••••• M••••••••• L•• | K•••••• F•••••• | May 25, 2023 | Sep 25, 2023 | 123 | Firm change | RIA to state RIA |
| B••••••• J•••• L•• | N•••• B••••••• W••••• M••••••••• L•• | Jul 19, 2021 | Aug 4, 2021 |
| B••••••• J•••• L•• | Independent wealth | Apr 12, 2019 | Jul 19, 2021 | no | San Francisco, CA|SEATTLE, WA | Previous registration |
| P••••••• A••••••• L•• | Former SEC adviser | Nov 17, 2015 | Jan 4, 2016 | no | SAN FRANCISCO, CA | Previous registration |
| M••••• S•••••• | Wirehouse | Mar 27, 2013 | Oct 27, 2014 | no | B•••••••, CA|San Jose, CA|Oakland, CA|Oakland, CA | Previous registration |
| 16 |
| Firm change |
| RIA to RIA |
| P••••••• A••••••• L•• | B••••••• J•••• L•• | Jan 4, 2016 | Apr 12, 2019 | 1,194 | Firm change after gap | Other |
| M••••• S•••••• | P••••••• A••••••• L•• | Oct 27, 2014 | Nov 17, 2015 | 386 | Firm change | Other |