DFX Intelligence
Reading the graph
Reading the graph
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Advisor at H•••••••• A•••••••• L••
CHICAGO, IL | Mandeville, LA
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 |
|---|---|---|---|---|---|---|
| H•••••••• A•••••••• L•• | Bd affiliated wealth | Oct 21, 2020 | n/a | yes | Mandeville, LA|CHICAGO, IL | Current employment |
| F••••••• I••••••••• M••••••••• C• | Former SEC adviser | Feb 19, 2010 | Nov 16, 2020 | no | DALLAS, TX|MANDEVILLE, LA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| F••••••• I••••••••• M••••••••• C• | H•••••••• A•••••••• L•• | Nov 16, 2020 | Oct 21, 2020 | -26 | Bulk transfer | RIA to ibd |
| T• A••••••••• I••••••••• M••••••••• L•• | T• A••••••••• I••• | Sep 9, 2008 | Jul 9, 2007 |
| T• A••••••••• I••••••••• M••••••••• L•• | Former SEC adviser | Jul 9, 2007 | Sep 9, 2008 | no | FORT WORTH, TX | Previous registration |
| T• A••••••••• I••• | Former SEC adviser | Jul 9, 2007 | Sep 9, 2008 | no | FORT WORTH, TX|FORT WORTH, TX | Previous registration |
| -428 |
| Channel change |
| Other |
| T• A••••••••• I••• | T• A••••••••• I••••••••• M••••••••• L•• | Sep 9, 2008 | Jul 9, 2007 | -428 | Firm change after gap | Other |