DFX Intelligence
Reading the graph
Reading the graph
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Advisor at A••••• A•• P••••••• S•••••••
HOUSTON, TX | Godley, 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 |
|---|---|---|---|---|---|---|
| A••••• A•• P••••••• S••••••• | Bd affiliated wealth | May 2, 2023 | n/a | yes | Godley, TX|HOUSTON, TX | Current employment |
| F••••• I••••••••• | Independent wealth | May 7, 2020 | Feb 28, 2022 | no | PLANO, TX|PLANO, TX | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| F••••• I••••••••• | A••••• A•• P••••••• S••••••• | Feb 28, 2022 | May 2, 2023 | 428 | Firm change after gap | RIA to ibd |
| C•••••• S••••• • C••• I••• | F••••• I••••••••• | May 6, 2020 | May 7, 2020 |
| C•••••• S••••• • C••• I••• | National bd RIA | Jul 10, 2017 | May 6, 2020 | no | Westlake, TX|Fort Worth, TX|Westlake, TX | Previous registration |
| T• A••••••••• I••••••••• M••••••••• L•• | Former SEC adviser | Jul 20, 2011 | May 5, 2014 | no | FORT WORTH, TX|FT WORTH, TX | Previous registration |
| T• A••••••••• I••• | Former SEC adviser | Jul 20, 2011 | May 5, 2014 | no | FORT WORTH, TX|FORT WORTH, TX|FORT WORTH, TX|Westlake, TX | Previous registration |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Wirehouse | Jan 25, 2011 | Jul 19, 2011 | no | FORT WORTH, TX | Previous registration |
| T• A••••••••• I••••••••• M••••••••• L•• | Former SEC adviser | Jul 9, 2008 | Dec 22, 2010 | no | FORT WORTH, TX | Previous registration |
| T• A••••••••• I••• | Former SEC adviser | Jul 9, 2008 | Dec 22, 2010 | no | FORT WORTH, TX|FORT WORTH, TX | Previous registration |
| 1 |
| Firm change |
| Ibd to RIA |
| T• A••••••••• I••••••••• M••••••••• L•• | C•••••• S••••• • C••• I••• | May 5, 2014 | Jul 10, 2017 | 1,162 | Firm change after gap | Other |
| T• A••••••••• I••• | T• A••••••••• I••••••••• M••••••••• L•• | May 5, 2014 | Jul 20, 2011 | -1,020 | Channel change | Other |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | T• A••••••••• I••• | Jul 19, 2011 | Jul 20, 2011 | 1 | Firm change | Wirehouse to new firm |
| T• A••••••••• I••••••••• M••••••••• L•• | T• A••••••••• I••• | Dec 22, 2010 | Jul 9, 2008 | -896 | Channel change | Other |
| T• A••••••••• I••• | T• A••••••••• I••••••••• M••••••••• L•• | Dec 22, 2010 | Jul 9, 2008 | -896 | Firm change after gap | Other |