DFX Intelligence
Reading the graph
Reading the graph
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Advisor at M••••• A•••••••• L••
••• Locked
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 |
|---|---|---|---|---|---|---|
| M••••• A•••••••• L•• | Bd affiliated wealth | Feb 28, 2024 | n/a | yes | Reno, NV|Livermore, CA|OMAHA, NE | Current employment |
| F•••••••• A••••••• G•••• L••••• | Independent wealth | Mar 16, 2017 | Mar 13, 2024 | no | GIG HARBOR, WA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| F•••••••• A••••••• G•••• L••••• | M••••• A•••••••• L•• | Mar 13, 2024 | Feb 28, 2024 | -14 | Firm change | RIA to ibd |
| A•••• C•••• I••••••••• L•• | F•••••••• A••••••• G•••• L••••• | Mar 1, 2024 | Mar 16, 2017 |
| A•••• C•••• I••••••••• L•• | Former SEC adviser | Jul 7, 2016 | Mar 1, 2024 | no | COSTA MESA, CA|Livermore, CA | Previous registration |
| P•••••• A••••••• | Independent wealth | Oct 31, 2014 | Dec 2, 2016 | no | GIG HARBOR, WA|REDMOND, WA | Previous registration |
| P•••••••• I•••••••• O• A•••••• | Former SEC adviser | Jan 13, 2014 | Jul 11, 2016 | no | RENO, NV|SAN FRANCISCO, CA | Previous registration |
| S•••••••• C•••••• G•••• L••••• | Former SEC adviser | Nov 19, 2013 | Dec 31, 2014 | no | WOODSIDE, CA | Previous registration |
| S•••••••• A••••••• L•• | National bd RIA | Jul 8, 1997 | Apr 12, 2005 | no | BURLINGAME, CA | Previous registration |
| -2,542 |
| Firm change after gap |
| Other |
| P•••••• A••••••• | A•••• C•••• I••••••••• L•• | Dec 2, 2016 | Jul 7, 2016 | -148 | Firm change after gap | Other |
| P•••••••• I•••••••• O• A•••••• | P•••••• A••••••• | Jul 11, 2016 | Oct 31, 2014 | -619 | Firm change after gap | Other |
| S•••••••• C•••••• G•••• L••••• | P•••••••• I•••••••• O• A•••••• | Dec 31, 2014 | Jan 13, 2014 | -352 | Firm change after gap | Other |
| S•••••••• A••••••• L•• | S•••••••• C•••••• G•••• L••••• | Apr 12, 2005 | Nov 19, 2013 | 3,143 | Firm change after gap | Other |