DFX Intelligence
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Reading the graph
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Advisor at R••• S•••• C••••••••• L••
ABITA SPRINGS, 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 |
|---|---|---|---|---|---|---|
| R••• S•••• C••••••••• L•• | State registered | Mar 15, 2024 | n/a | yes | ABITA SPRINGS, LA | Current employment |
| A••••••• A••••••• S•••••••• L•• | Bd affiliated wealth | Nov 1, 2021 | Nov 6, 2023 | no | MANDEVILLE, LA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| A••••••• A••••••• S•••••••• L•• | R••• S•••• C••••••••• L•• | Nov 6, 2023 | Mar 15, 2024 | 130 | Firm change | Ibd to state RIA |
| A••••••• A••••••• S••••••• | A••••••• A••••••• S•••••••• L•• | Nov 1, 2021 | Nov 1, 2021 |
| A••••••• A••••••• S••••••• | Former SEC adviser | Feb 13, 2009 | Nov 1, 2021 | no | Mandeville, LA|METAIRIE, LA|LINCOLN, NE|Glendale, AZ|Lincoln, NE|Austin, TX | Previous registration |
| S••••••••• A•••••• A•••••••• I••• | Former SEC adviser | Jul 9, 2003 | Nov 26, 2008 | no | METAIRIE, LA|METAIRIE, LA | Previous registration |
| 0 |
| Bulk transfer |
| Ibd to ibd |
| S••••••••• A•••••• A•••••••• I••• | A••••••• A••••••• S••••••• | Nov 26, 2008 | Feb 13, 2009 | 79 | Firm change | Other |