DFX Intelligence
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Reading the graph
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Advisor at S•••••••• A••••••• L••
NEW CANEY, 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 | NEW CANEY, TX | Current employment |
| F••••••• P••••••• A•• W•••••••• A••••••• | Former SEC adviser | Jan 19, 2024 | Mar 31, 2025 | no | KINGWOOD, TX | Previous registration |
| 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 |
| L•• F•••••••• L•• | F••••••• P••••••• A•• W•••••••• A••••••• | Dec 12, 2023 | Jan 19, 2024 |
| L•• F•••••••• L•• | Bd affiliated wealth | Jul 21, 2021 | Dec 12, 2023 | no | KATY, TX|EDMOND, OK | Previous registration |
| W•••••• • R••• | Former SEC adviser | Mar 20, 2021 | Jul 21, 2021 | no | EDMOND, OK|HOUSTON, TX | Previous registration |
| 38 |
| Firm change |
| Ibd to ibd |
| W•••••• • R••• | L•• F•••••••• L•• | Jul 21, 2021 | Jul 21, 2021 | 0 | Bulk transfer | Ibd to ibd |