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 | Apr 17, 2024 | n/a | yes | HOUSTON, TX | Current employment |
| C•••••• S••••• • C••• I••• | National bd RIA | Apr 12, 2022 | Jan 10, 2024 | no | The Woodlands, TX|The Woodlands, TX |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| C•••••• S••••• • C••• I••• | C•••• I••••••••• M••••••••• L•• | Jan 10, 2024 | Apr 17, 2024 | 98 | Firm change | Ibd to RIA |
| T• A••••••••• I••••••••• M••••••••• L•• | C•••••• S••••• • C••• I••• | Sep 7, 2023 | Apr 12, 2022 |
| T• A••••••••• I••••••••• M••••••••• L•• | Former SEC adviser | Oct 25, 2021 | Sep 7, 2023 | no | The Woodlands, TX | Previous registration |
| T• A••••••••• I••• | Former SEC adviser | Oct 25, 2021 | Oct 14, 2022 | no | HOUSTON, TX|The Woodlands, TX | Previous registration |
| T• A••••••••• I••• | Former SEC adviser | Feb 27, 2018 | Jan 11, 2021 | no | KINGWOOD, TX|The Woodlands, TX | Previous registration |
| T• A••••••••• I••••••••• M••••••••• L•• | Former SEC adviser | Feb 26, 2018 | Dec 31, 2020 | no | OMAHA, NE|KINGWOOD, TX|THE WOODLANDS, TX | Previous registration |
| S•••••••• I••••••••• M••••••••• | Former SEC adviser | Jan 25, 2017 | Feb 26, 2018 | no | SAINT LOUIS, MO | Previous registration |
| T• A••••••••• I••••••••• M••••••••• L•• | Former SEC adviser | Mar 26, 2009 | Oct 31, 2013 | no | WOODLANDS, TX|THE WOODLANDS, TX | Previous registration |
| T• A••••••••• I••• | Former SEC adviser | Mar 26, 2009 | Oct 31, 2013 | no | The Woodlands, TX | Previous registration |
| W•••• F•••• A••••••• | Wirehouse | Feb 15, 2007 | Sep 4, 2007 | no | ADDISON, TX|SPRING, TX | Previous registration |
| A••••••••• F•••••••• S•••••••• L•• | National bd RIA | Aug 13, 2004 | Aug 15, 2006 | no | THE WOODLANDS, TX|THE WOODLANDS, TX | Previous registration |
| -513 |
| Bulk transfer |
| RIA to ibd |
| T• A••••••••• I••• | T• A••••••••• I••••••••• M••••••••• L•• | Oct 14, 2022 | Oct 25, 2021 | -354 | Bulk transfer | Other |
| T• A••••••••• I••••••••• M••••••••• L•• | T• A••••••••• I••• | Dec 31, 2020 | Feb 27, 2018 | -1,038 | Bulk transfer | Other |
| S•••••••• I••••••••• M••••••••• | T• A••••••••• I••••••••• M••••••••• L•• | Feb 26, 2018 | Feb 26, 2018 | 0 | Bulk transfer | Ibd to RIA |
| T• A••••••••• I••••••••• M••••••••• L•• | T• A••••••••• I••• | Oct 31, 2013 | Mar 26, 2009 | -1,680 | Channel change | Other |
| T• A••••••••• I••• | T• A••••••••• I••••••••• M••••••••• L•• | Oct 31, 2013 | Mar 26, 2009 | -1,680 | Firm change after gap | Other |
| W•••• F•••• A••••••• | T• A••••••••• I••• | Sep 4, 2007 | Mar 26, 2009 | 569 | Firm change after gap | Wirehouse to new firm |
| A••••••••• F•••••••• S•••••••• L•• | W•••• F•••• A••••••• | Aug 15, 2006 | Feb 15, 2007 | 184 | Firm change | Ibd to wirehouse |