DFX Intelligence
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Reading the graph
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Advisor at I••••••••• L••••• F•
NEW BRAUNFELSS, 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 |
|---|---|---|---|---|---|---|
| I••••••••• L••••• F• | State registered | Feb 25, 2021 | n/a | yes | NEW BRAUNFELSS, TX | Current employment |
| P•• F•••••••• G•••• | Independent wealth | Nov 16, 2019 | Jan 11, 2021 | no | SAN ANTONIO, TX | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| P•• F•••••••• G•••• | I••••••••• L••••• F• | Jan 11, 2021 | Feb 25, 2021 | 45 | Firm change | RIA to state RIA |
| F••••••• P••••••• A•• W•••••••• A••••••• | P•• F•••••••• G•••• | Nov 8, 2019 | Nov 16, 2019 |
| F••••••• P••••••• A•• W•••••••• A••••••• | Former SEC adviser | Jul 13, 2018 | Nov 8, 2019 | no | BOSTON, MA | Previous registration |
| S•••••••• A••••••• L•• | National bd RIA | Sep 26, 2017 | Jul 13, 2018 | no | WESTLAKE, TX | Previous registration |
| 8 |
| Firm change |
| Ibd to RIA |
| S•••••••• A••••••• L•• | F••••••• P••••••• A•• W•••••••• A••••••• | Jul 13, 2018 | Jul 13, 2018 | 0 | Bulk transfer | Ibd to new firm |