DFX Intelligence
Reading the graph
Reading the graph
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Advisor at N•••••• A•••••••
NEW ORLEANS, LA | Temecula, 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 |
|---|---|---|---|---|---|---|
| N•••••• A••••••• | Bd affiliated wealth | Sep 23, 2024 | n/a | yes | NEW ORLEANS, LA|Temecula, CA | Current employment |
| H•• I••••••••• P•••••••• L•• | Independent wealth | Jan 5, 2022 | Oct 16, 2024 | no | AUSTIN, TX|Temecula, CA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| H•• I••••••••• P•••••••• L•• | N•••••• A••••••• | Oct 16, 2024 | Sep 23, 2024 | -23 | Firm change | RIA to ibd |
| T•• A•••••••• L• | H•• I••••••••• P•••••••• L•• | Dec 8, 2020 | Jul 3, 2020 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 112685:307956:TX:2020-12-08 | Dec 8, 2020 | Jul 3, 2020 | AUSTIN, TX | Firm change after gap |
| 111133:133658:CA:2019-10-24 | Oct 25, 2019 | Mar 11, 2013 | TEMECULA, CA | Firm change after gap |
| H•• I••••••••• P•••••••• L•• | Independent wealth | Jul 3, 2020 | Dec 31, 2021 | no | Temecula, CA|AUSTIN, TX | Previous registration |
| T•• A•••••••• L• | Former SEC adviser | Mar 11, 2020 | Dec 8, 2020 | no | Temecula, CA|AUSTIN, TX | Previous registration |
| A•••••• A••••••• S••••••• | Former SEC adviser | Oct 25, 2019 | Mar 12, 2020 | no | IRVING, TX | Previous registration |
| R••••• F•••••••• | Former SEC adviser | Mar 11, 2013 | Jan 29, 2020 | no | TEMECULA, CA | Previous registration |
| 1•• G••••• A••••••• I•• | Former SEC adviser | Jun 20, 2007 | Oct 25, 2019 | no | Temecula, CA | Previous registration |
| -158 |
| Firm change after gap |
| Other |
| A•••••• A••••••• S••••••• | T•• A•••••••• L• | Mar 12, 2020 | Mar 11, 2020 | -1 | Firm change | Other |
| R••••• F•••••••• | A•••••• A••••••• S••••••• | Jan 29, 2020 | Oct 25, 2019 | -96 | Firm change after gap | RIA to ibd |
| 1•• G••••• A••••••• I•• | R••••• F•••••••• | Oct 25, 2019 | Mar 11, 2013 | -2,419 | Firm change after gap | Other |