DFX Intelligence
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Reading the graph
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Advisor at S•••• W••••• P••••••• L••
LAFAYETTE, LA
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•••• W••••• P••••••• L•• | Independent wealth | Dec 20, 2022 | n/a | yes | LAFAYETTE, LA | Current employment |
| S•••• W••••• M••••••••• L•• | Bd affiliated wealth | Feb 1, 2017 | Dec 20, 2022 | no | Lafayette, LA|MCLEAN, VA|LAFAYETTE, LA|Lafayette, LA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| S•••• W••••• M••••••••• L•• | S•••• W••••• P••••••• L•• | Dec 20, 2022 | Dec 20, 2022 | 0 | Firm change | Ibd to RIA |
| O••••• A•••• M••••••••• L•• | S•••• W••••• M••••••••• L•• | Nov 30, 2017 | Feb 1, 2017 |
| O••••• A•••• M••••••••• L•• | Former SEC adviser | May 19, 2011 | Nov 30, 2017 | no | LAFAYETTE, LA|MCALLEN, TX | Previous registration |
| E••••• J•••• | National bd RIA | Nov 17, 2008 | May 6, 2011 | no | LAFAYETTE, LA|LAFAYETTE, LA|ST LOUIS, MO|LAFAYETTE, LA | Previous registration |
| -302 |
| Firm change after gap |
| Other |
| E••••• J•••• | O••••• A•••• M••••••••• L•• | May 6, 2011 | May 19, 2011 | 13 | Firm change | Other |