DFX Intelligence
Reading the graph
Reading the graph
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Advisor at S••••• L••• C••••••• L••
METAIRIE, 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 |
|---|---|---|---|---|---|---|
| S••••• L••• C••••••• L•• | Independent wealth | May 18, 2023 | n/a | yes | METAIRIE, LA | Current employment |
| A•••••• R••••••• C•••••• | Independent wealth | Jan 5, 2021 | May 18, 2023 | no | DALLAS, TX|Metairie, LA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| A•••••• R••••••• C•••••• | S••••• L••• C••••••• L•• | May 18, 2023 | May 18, 2023 | 0 | Firm change | RIA to new firm |
| J••• M••••• S••••••••• L•• | A•••••• R••••••• C•••••• | Jun 17, 2015 | Jan 5, 2021 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 164109:324386:LA:2023-05-18 | May 18, 2023 | May 18, 2023 | METAIRIE, LA | Firm change |
| J••• M••••• S••••••••• L•• | Wirehouse | Oct 1, 2012 | Jun 17, 2015 | no | CEDAR PARK, TX|ROUND ROCK, TX|AUSTIN, TX|New Orleans, LA|NEW ORLEANS, LA|NEW ORLEANS, LA|NORTH MIAMI, FL|New Orleans, LA|NEW ORLEANS, LA|NEW ORLEANS, LA | Previous registration |
| C•••• I••••••••• S••••••• C•••• | Former SEC adviser | Jan 17, 2011 | Oct 1, 2012 | no | ROUND ROCK, TX|AUSTIN, TX|ROUND ROCK, TX|CEDAR PARK, TX|LEANDER, TX|TEMPLE, TX|ROUND ROCK, TX | Previous registration |
| 2,029 |
| Firm change after gap |
| Wirehouse to ibd |
| C•••• I••••••••• S••••••• C•••• | J••• M••••• S••••••••• L•• | Oct 1, 2012 | Oct 1, 2012 | 0 | Bulk transfer | Other |