DFX Intelligence
Reading the graph
Reading the graph
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Advisor at H•••••••• A•••••••• L••
CHICAGO, IL | Dallas, 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 |
|---|---|---|---|---|---|---|
| H•••••••• A•••••••• L•• | Bd affiliated wealth | Oct 4, 2020 | n/a | yes | Dallas, TX|CHICAGO, IL | Current employment |
| F••••••• I••••••••• M••••••••• C• | Former SEC adviser | May 6, 2015 | Nov 16, 2020 | no | DALLAS, TX |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| F••••••• I••••••••• M••••••••• C• | H•••••••• A•••••••• L•• | Nov 16, 2020 | Oct 4, 2020 | -43 | Bulk transfer | RIA to ibd |
| T•• G•••••• G•••• | F••••••• I••••••••• M••••••••• C• | Aug 10, 2015 | May 6, 2015 |
| T•• G•••••• G•••• | Independent wealth | Feb 18, 2015 | Aug 10, 2015 | no | DALLAS, TX | Previous registration |
| C•••• W•••••• • A••••••••• L•• | Independent wealth | Apr 9, 2012 | Jan 6, 2015 | no | PLANO, TX | Previous registration |
| -96 |
| Firm change after gap |
| Other |
| C•••• W•••••• • A••••••••• L•• | T•• G•••••• G•••• | Jan 6, 2015 | Feb 18, 2015 | 43 | Firm change | Other |