DFX Intelligence
Reading the graph
Reading the graph
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Advisor at S•••••••• A••••••• L••
WESTLAKE, TX
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 |
|---|---|---|---|---|---|---|
| S•••••••• A••••••• L•• | National bd RIA | Mar 31, 2025 | n/a | yes | WESTLAKE, TX|WESTLAKE, TX | Current employment |
| F••••••• P••••••• A•• W•••••••• A••••••• | Former SEC adviser | Jul 13, 2018 | Mar 31, 2025 | no | BOSTON, MA|WESTLAKE, TX|LEWISVILLE, TX |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| F••••••• P••••••• A•• W•••••••• A••••••• | S•••••••• A••••••• L•• | Mar 31, 2025 | Mar 31, 2025 | 0 | Bulk transfer | Ibd to ibd |
| S•••••••• A••••••• L•• | F••••••• P••••••• A•• W•••••••• A••••••• | Jul 13, 2018 | Jul 13, 2018 |
| S•••••••• A••••••• L•• | National bd RIA | Apr 26, 2013 | Jul 13, 2018 | no | WESTLAKE, TX | Previous registration |
| B•• F•••••••• A•••• M••••••••• I••• | Former SEC adviser | Jul 16, 2010 | Oct 10, 2011 | no | HOUSTON, TX | Previous registration |
| J••• H•••••• D••••••••• L•• | n/a | Jan 18, 2006 | Dec 31, 2006 | no | DALLAS, TX|BOSTON, MA|BOSTON, MA | Previous registration |
| 0 |
| Bulk transfer |
| Ibd to new firm |
| B•• F•••••••• A•••• M••••••••• I••• | S•••••••• A••••••• L•• | Oct 10, 2011 | Apr 26, 2013 | 564 | Firm change after gap | Other |
| J••• H•••••• D••••••••• L•• | B•• F•••••••• A•••• M••••••••• I••• | Dec 31, 2006 | Jul 16, 2010 | 1,293 | Firm change after gap | Other |