DFX Intelligence
Reading the graph
Reading the graph
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Advisor at C••••••• P•••••••
••• Locked
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••••••• P••••••• | Independent wealth | Apr 26, 2023 | n/a | yes | Addison, TX|OVERLAND PARK, KS|Allen, TX | Current employment |
| A••••••• F••••••••• L••• | Bd affiliated wealth | Jan 7, 2020 | Apr 21, 2023 | no | SACRAMENTO, CA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| A••••••• F••••••••• L••• | C••••••• P••••••• | Apr 21, 2023 | Apr 26, 2023 | 5 | Firm change | Ibd to RIA |
| R•• | A••••••• F••••••••• L••• | Jan 7, 2020 | Jan 7, 2020 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 111167:105348:CA:2023-04-21 | Apr 21, 2023 | Apr 26, 2023 | SACRAMENTO, CA | Firm change |
| R•• | Former SEC adviser | Jun 11, 2014 | Jan 7, 2020 | no | ADDISON, TX | Previous registration |
| S•••••••• A••••••• L•• | National bd RIA | Nov 10, 2005 | May 28, 2014 | no | WESTLAKE, TX | Previous registration |
| Bulk transfer |
| RIA to RIA |
| S•••••••• A••••••• L•• | R•• | May 28, 2014 | Jun 11, 2014 | 14 | Firm change | Other |