DFX Intelligence
Reading the graph
Reading the graph
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Advisor at A••• A••••••• P•••••••
NEW YORK, NY | 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 |
|---|---|---|---|---|---|---|
| A••• A••••••• P••••••• | Bd affiliated wealth | Jul 15, 2026 | n/a | yes | NEW YORK, NY|Houston, TX | Current employment |
| U••• C•••••• W••••• A•••••••• L•• | Bd affiliated wealth | Jun 30, 2021 | Jul 21, 2026 | no | AUSTIN, TX |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| U••• C•••••• W••••• A•••••••• L•• | A••• A••••••• P••••••• | Jul 21, 2026 | Jul 15, 2026 | -6 | Bulk transfer | Ibd to ibd |
| U••• R•• L•• | U••• C•••••• W••••• A•••••••• L•• | Jun 30, 2021 | Jun 30, 2021 |
| U••• R•• L•• | Former SEC adviser | Oct 8, 2010 | Jun 30, 2021 | no | HOUSTON, TX | Previous registration |
| U•• F•••••••• S••••••• I••• | Wirehouse | Apr 18, 2008 | Oct 15, 2010 | no | HOUSTON, TX|HOUSTON, TX|WEEHAWKEN, NJ | Previous registration |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Wirehouse | Aug 8, 2000 | Apr 23, 2008 | no | HOUSTON, TX|HOUSTON, TX | Previous registration |
| 0 |
| Bulk transfer |
| Ibd to RIA |
| U•• F•••••••• S••••••• I••• | U••• R•• L•• | Oct 15, 2010 | Oct 8, 2010 | -7 | Firm change | Other |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | U•• F•••••••• S••••••• I••• | Apr 23, 2008 | Apr 18, 2008 | -5 | Firm change | Wirehouse to wirehouse |