DFX Intelligence
Reading the graph
Reading the graph
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Advisor at A•••••••• C•••••• L••
Frisco, TX | LA JOLLA, CA
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•••••••• C•••••• L•• | Independent wealth | May 5, 2025 | n/a | yes | LA JOLLA, CA|Frisco, TX | Current employment |
| C••••• C••••••• L•• | Former SEC adviser | Mar 4, 2022 | May 15, 2025 | no | Highland Village, TX|LA JOLLA, CA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| C••••• C••••••• L•• | A•••••••• C•••••• L•• | May 15, 2025 | May 5, 2025 | -10 | Firm change | RIA to RIA |
| M•••••• | C••••• C••••••• L•• | Feb 23, 2022 | Mar 4, 2022 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 142527:174346:CA:2025-05-15 | May 15, 2025 | May 5, 2025 | LA JOLLA, CA | Firm change |
| M•••••• | Bd affiliated wealth | Sep 21, 2021 | Feb 23, 2022 | no | Plano, TX | Previous registration |
| H•••••••• A•••••••• L•• | Bd affiliated wealth | Sep 18, 2020 | Sep 10, 2021 | no | CHICAGO, IL|Dallas, TX | Previous registration |
| F••••••• I••••••••• M••••••••• C• | Former SEC adviser | Apr 24, 2014 | Nov 16, 2020 | no | DALLAS, TX | Previous registration |
| U••• F•••••••• P••••••• S••••••• | Former SEC adviser | Apr 21, 2011 | Apr 16, 2014 | no | ADDISON, TX | Previous registration |
| R•••••••• A••••••• S•••••••• L••• | Former SEC adviser | Mar 9, 2009 | Mar 30, 2011 | no | FORT WORTH, TX | Previous registration |
| N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• | Former SEC adviser | Oct 2, 2008 | Mar 14, 2011 | no | FORTH WORTH, TX | Previous registration |
| Firm change |
| Ibd to RIA |
| H•••••••• A•••••••• L•• | M•••••• | Sep 10, 2021 | Sep 21, 2021 | 11 | Firm change | Ibd to ibd |
| F••••••• I••••••••• M••••••••• C• | H•••••••• A•••••••• L•• | Nov 16, 2020 | Sep 18, 2020 | -59 | Bulk transfer | RIA to ibd |
| U••• F•••••••• P••••••• S••••••• | F••••••• I••••••••• M••••••••• C• | Apr 16, 2014 | Apr 24, 2014 | 8 | Firm change | Other |
| R•••••••• A••••••• S•••••••• L••• | U••• F•••••••• P••••••• S••••••• | Mar 30, 2011 | Apr 21, 2011 | 22 | Firm change | RIA to new firm |
| N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• | R•••••••• A••••••• S•••••••• L••• | Mar 14, 2011 | Mar 9, 2009 | -735 | Firm change after gap | Other |