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Reading the graph
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Advisor at S•••••••• A••••••• L••
WESTLAKE, TX | SHADY SHORES, 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|SHADY SHORES, TX|SHADY SHORES, TX|WESTLAKE, TX | Current employment |
| F••••••• P••••••• A•• W•••••••• A••••••• | Former SEC adviser | Jul 13, 2018 | Mar 31, 2025 | no | BOSTON, MA|SHADY SHORES, TX|WESTLAKE, 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 |
| Previous registration |
| S•••••••• A••••••• L•• | National bd RIA | Dec 16, 2015 | Jul 13, 2018 | no | WESTLAKE, TX | Previous registration |
| T•••••• P•••••••• A•••••••• L•• | Independent wealth | Aug 18, 2014 | Nov 13, 2015 | no | SOUTHLAKE, TX | Previous registration |
| 0 |
| Bulk transfer |
| Ibd to new firm |
| T•••••• P•••••••• A•••••••• L•• | S•••••••• A••••••• L•• | Nov 13, 2015 | Dec 16, 2015 | 33 | Firm change | Other |