DFX Intelligence
Reading the graph
Reading the graph
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Advisor at P•••••• I••••••••• A•••••••• L••
BATON ROUGE, LA | ALBUQUERQUE, NM
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 |
|---|---|---|---|---|---|---|
| P•••••• I••••••••• A•••••••• L•• | Independent wealth | Jul 1, 2026 | n/a | yes | ALBUQUERQUE, NM|BATON ROUGE, LA | Current employment |
| L•••• F••• A••••••• S••••••• | Bd affiliated wealth | Jul 14, 2023 | Jun 24, 2026 | no | ALBUQUERQUE, NM|DALLAS, TX |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| L•••• F••• A••••••• S••••••• | P•••••• I••••••••• A•••••••• L•• | Jun 24, 2026 | Jul 1, 2026 | 7 | Firm change | Ibd to RIA |
| M••••• S•••••• | L•••• F••• A••••••• S••••••• | Jul 18, 2023 | Jul 14, 2023 |
| M••••• S•••••• | Wirehouse | Apr 22, 2013 | Jul 18, 2023 | no | Santa Fe, NM|Albuquerque, NM | Previous registration |
| W•••• F•••• A••••••• | Wirehouse | Jan 1, 2008 | Apr 18, 2013 | no | SANTA FE, NM|SANTA FE, NM | Previous registration |
| A• G• E•••••• • S•••• I••• | n/a | Dec 8, 2006 | Jan 1, 2008 | no | SANTA FE, NM|SANTA FE, NM|ST. LOUIS, MO | Previous registration |
| -4 |
| Firm change |
| Wirehouse to ibd |
| W•••• F•••• A••••••• | M••••• S•••••• | Apr 18, 2013 | Apr 22, 2013 | 4 | Firm change | Wirehouse to wirehouse |
| A• G• E•••••• • S•••• I••• | W•••• F•••• A••••••• | Jan 1, 2008 | Jan 1, 2008 | 0 | Bulk transfer | Other |