DFX Intelligence
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Reading the graph
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Advisor at C•••••• S••••• • C••• I•••
Westlake, 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•••••• S••••• • C••• I••• | National bd RIA | Jul 7, 2021 | n/a | yes | Westlake, TX | Current employment |
| S••••• W••••• A•••••••• I••• | No RAUM reported | Oct 8, 2018 | Jul 9, 2021 | no | Westlake, TX|Fort Worth, TX|Westlake, TX |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| S••••• W••••• A•••••••• I••• | C•••••• S••••• • C••• I••• | Jul 9, 2021 | Jul 7, 2021 | -2 | Channel change | Other |
| F••••••• P••••••• A•• W•••••••• A••••••• | S••••• W••••• A•••••••• I••• | Sep 25, 2018 | Oct 8, 2018 |
| F••••••• P••••••• A•• W•••••••• A••••••• | Former SEC adviser | Jul 13, 2018 | Sep 25, 2018 | no | BOSTON, MA | Previous registration |
| S•••••••• A••••••• L•• | National bd RIA | Aug 2, 2011 | Jul 13, 2018 | no | WESTLAKE, TX | Previous registration |
| T• A••••••••• I••••••••• M••••••••• L•• | Former SEC adviser | Apr 1, 2010 | May 31, 2011 | no | FT WORTH, TX | Previous registration |
| T• A••••••••• I••• | Former SEC adviser | Apr 1, 2010 | May 31, 2011 | no | WestLake, TX | Previous registration |
| S•••••••• A••••••• L•• | National bd RIA | Dec 6, 2004 | Mar 9, 2010 | no | WESTLAKE, TX | Previous registration |
| W•••• F•••• I••••••••• L•• | n/a | Oct 10, 2003 | Oct 30, 2003 | no | ARLINGTON, TX | Previous registration |
| A• G• E•••••• • S•••• I••• | n/a | Jul 2, 2002 | Dec 18, 2002 | no | ARLINGTON, TX | Previous registration |
| 13 |
| Firm change |
| Ibd to ibd |
| S•••••••• A••••••• L•• | F••••••• P••••••• A•• W•••••••• A••••••• | Jul 13, 2018 | Jul 13, 2018 | 0 | Bulk transfer | Ibd to new firm |
| T• A••••••••• I••• | T• A••••••••• I••••••••• M••••••••• L•• | May 31, 2011 | Apr 1, 2010 | -425 | Firm change after gap | Other |
| T• A••••••••• I••••••••• M••••••••• L•• | T• A••••••••• I••• | May 31, 2011 | Apr 1, 2010 | -425 | Channel change | Other |
| S•••••••• A••••••• L•• | T• A••••••••• I••• | Mar 9, 2010 | Apr 1, 2010 | 23 | Firm change | Ibd to new firm |
| W•••• F•••• I••••••••• L•• | S•••••••• A••••••• L•• | Oct 30, 2003 | Dec 6, 2004 | 403 | Firm change after gap | Other |
| A• G• E•••••• • S•••• I••• | W•••• F•••• I••••••••• L•• | Dec 18, 2002 | Oct 10, 2003 | 296 | Firm change | Other |