DFX Intelligence
Reading the graph
Reading the graph
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Advisor at S•••••• P•••••••• L••
SUGAR LAND, TX | OMAHA, NE
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 |
|---|---|---|---|---|---|---|
| S•••••• P•••••••• L•• | Independent wealth | Mar 6, 2018 | n/a | yes | OMAHA, NE|SUGAR LAND, TX | Current employment |
| C•••••••• F•••••••• G•••• A••••••• | Former SEC adviser | Nov 13, 2014 | Mar 28, 2018 | no | SUGAR LAND, TX |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| C•••••••• F•••••••• G•••• A••••••• | S•••••• P•••••••• L•• | Mar 28, 2018 | Mar 6, 2018 | -22 | Firm change | Other |
| M•• I•••••••• S•••••••• L•• | C•••••••• F•••••••• G•••• A••••••• | Aug 3, 2012 | Nov 13, 2014 |
| M•• I•••••••• S•••••••• L•• | Bd affiliated wealth | Feb 3, 2004 | Aug 3, 2012 | no | Houston, TX|HOUSTON, TX | Previous registration |
| V••••••• I••••••••• A•••••••• I••• | n/a | Apr 3, 2000 | Dec 18, 2003 | no | HOUSTON, TX | Previous registration |
| 832 |
| Firm change after gap |
| Other |
| V••••••• I••••••••• A•••••••• I••• | M•• I•••••••• S•••••••• L•• | Dec 18, 2003 | Feb 3, 2004 | 47 | Firm change | Other |