DFX Intelligence
Reading the graph
Reading the graph
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Advisor at C•••• I••••••••• M••••••••• L••
HOUSTON, 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 |
|---|---|---|---|---|---|---|
| C•••• I••••••••• M••••••••• L•• | Independent wealth | Mar 15, 2018 | n/a | yes | HOUSTON, TX | Current employment |
| S•••••••• I••••••••• M••••••••• | Former SEC adviser | Jan 26, 2017 | Mar 8, 2018 | no | SAINT LOUIS, MO | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| S•••••••• I••••••••• M••••••••• | C•••• I••••••••• M••••••••• L•• | Mar 8, 2018 | Mar 15, 2018 | 7 | Firm change | Ibd to RIA |
| T• A••••••••• I••• | T• A••••••••• I••••••••• M••••••••• L•• | Sep 13, 2016 | Nov 10, 2008 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 169988:108046:MO:2018-03-08 | Mar 8, 2018 | Mar 15, 2018 | SAINT LOUIS, MO | Firm change |
| 111514:169988:TX:2016-09-07 | Sep 13, 2016 | Jan 26, 2017 | HOUSTON, TX | Firm change |
| T• A••••••••• I••••••••• M••••••••• L•• | Former SEC adviser | Nov 10, 2008 | Sep 13, 2016 | no | THE WOODLANDS, TX|WOODLANDS, TX|HOUSTON, TX|THE WOODLANDS, TX|HOUSTON, TX | Previous registration |
| T• A••••••••• I••• | Former SEC adviser | Nov 10, 2008 | Sep 13, 2016 | no | The Woodlands, TX|HOUSTON, TX|The Woodlands, TX|HOUSTON, TX|HOUSTON, TX|The Woodlands, TX|HOUSTON, TX | Previous registration |
| S•••••••• A••••••• L•• | National bd RIA | Jan 24, 2007 | Nov 12, 2008 | no | THE WOODLANDS, TX | Previous registration |
| T• A••••••••• I••••••••• M••••••••• L•• | Former SEC adviser | Apr 24, 2006 | Dec 7, 2006 | no | SAN JOSE, CA | Previous registration |
| T• A••••••••• I••• | Former SEC adviser | Oct 26, 2005 | Dec 7, 2006 | no | CAMPBELL, CA|SAN JOSE, CA | Previous registration |
| C•••• I••••••••• S••••••• C•••• | Former SEC adviser | Jul 6, 2005 | Oct 4, 2005 | no | COVINGTON, LA | Previous registration |
| B••• O•• S••••••••• C••••••••• | n/a | Jun 15, 2005 | Jul 6, 2005 | no | COVINGTON, LA | Previous registration |
| A•••••• I••••••••• M••••••••• C•••••• L•• | n/a | Mar 2, 2005 | Jun 3, 2005 | no | MANDEVILLE, LA | Previous registration |
| A•••••• I••••••••• M••••••••• C•••••• L•• | n/a | Jan 21, 2005 | Mar 2, 2005 | no | MANDEVILLE, LA | Previous registration |
| T• A••••••••• I••• | Former SEC adviser | Jul 25, 2003 | Nov 25, 2003 | no | NEW ORLEANS, LA | Previous registration |
| -2,864 |
| Channel change |
| Other |
| T• A••••••••• I••••••••• M••••••••• L•• | S•••••••• I••••••••• M••••••••• | Sep 13, 2016 | Jan 26, 2017 | 135 | Firm change | Other |
| S•••••••• A••••••• L•• | T• A••••••••• I••• | Nov 12, 2008 | Nov 10, 2008 | -2 | Firm change | Ibd to new firm |
| T• A••••••••• I••• | T• A••••••••• I••••••••• M••••••••• L•• | Dec 7, 2006 | Apr 24, 2006 | -227 | Channel change | Other |
| T• A••••••••• I••••••••• M••••••••• L•• | S•••••••• A••••••• L•• | Dec 7, 2006 | Jan 24, 2007 | 48 | Firm change | Other |
| C•••• I••••••••• S••••••• C•••• | T• A••••••••• I••• | Oct 4, 2005 | Oct 26, 2005 | 22 | Firm change | Other |
| B••• O•• S••••••••• C••••••••• | C•••• I••••••••• S••••••• C•••• | Jul 6, 2005 | Jul 6, 2005 | 0 | Bulk transfer | Other |
| A•••••• I••••••••• M••••••••• C•••••• L•• | B••• O•• S••••••••• C••••••••• | Jun 3, 2005 | Jun 15, 2005 | 12 | Firm change | Other |
| T• A••••••••• I••• | A•••••• I••••••••• M••••••••• C•••••• L•• | Nov 25, 2003 | Jan 21, 2005 | 423 | Firm change after gap | Other |