DFX Intelligence
Reading the graph
Reading the graph
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Advisor at F••••• C•••••• M••••••••• L••
BELLEVUE, WA
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 |
|---|---|---|---|---|---|---|
| F••••• C•••••• M••••••••• L•• | Independent wealth | Jan 16, 2025 | n/a | yes | BELLEVUE, WA | Current employment |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Wirehouse | Sep 19, 2022 | Oct 24, 2024 | no | SAN FRANCISCO, CA|SEATTLE, WA|SAN FRANCISCO, CA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | F••••• C•••••• M••••••••• L•• | Oct 24, 2024 | Jan 16, 2025 | 84 | Firm change | Wirehouse to RIA |
| O••• W••••• M••••••••• L•• | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Aug 4, 2022 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 132996:299704:CA:2017-06-08 | Jun 8, 2017 | Feb 20, 2019 | CUPERTINO, CA | Firm change after gap |
| O••• W••••• M••••••••• L•• | Independent wealth | Feb 20, 2019 | Aug 4, 2022 | no | Cupertino, CA | Previous registration |
| O••• A•••••••• I••• | Former SEC adviser | Jan 27, 2015 | Jun 8, 2017 | no | SEATTLE, WA|CUPERTINO, CA | Previous registration |
| 46 |
| Firm change |
| RIA to wirehouse |
| O••• A•••••••• I••• | O••• W••••• M••••••••• L•• | Jun 8, 2017 | Feb 20, 2019 | 622 | Firm change after gap | Other |