DFX Intelligence
Reading the graph
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 | Jan 22, 2026 | n/a | yes | Westlake, TX | Current employment |
| A••••••••• F•••••••• S•••••••• L•• | National bd RIA | Apr 29, 2025 | Jan 6, 2026 | no | Gunter, TX|RICHARDSON, TX |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| A••••••••• F•••••••• S•••••••• L•• | C•••••• S••••• • C••• I••• | Jan 6, 2026 | Jan 22, 2026 | 16 | Firm change | Ibd to ibd |
| E•••• S••••••••• L•• | A••••••••• F•••••••• S•••••••• L•• | Apr 21, 2025 | Apr 29, 2025 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 6363:5393:TX:2026-01-05 | Jan 6, 2026 | Jan 22, 2026 | RICHARDSON, TX | Firm change |
| E•••• S••••••••• L•• | Bd affiliated wealth | Dec 10, 2012 | Apr 21, 2025 | no | KENNEWICK, WA|SPOKANE, WA|PLANO, TX|White Plains, NY | Previous registration |
| L•• F•••••••• L•• | Bd affiliated wealth | Feb 2, 2012 | Oct 22, 2012 | no | OLYMPIA, WA | Previous registration |
| N•• A•••••• S•••••••• L•• | Former SEC adviser | Nov 20, 2007 | Jul 19, 2011 | no | AUSTIN, TX | Previous registration |
| M• H••••••• S••••••••• I••• | Bd affiliated wealth | Dec 1, 2006 | Nov 15, 2007 | no | PORTLAND, OR | Previous registration |
| N•• A•••••• S•••••••• L•• | Former SEC adviser | Apr 1, 2003 | Nov 2, 2006 | no | AUSTIN, TX|AUSTIN, TX | Previous registration |
| 8 |
| Firm change |
| Ibd to ibd |
| L•• F•••••••• L•• | E•••• S••••••••• L•• | Oct 22, 2012 | Dec 10, 2012 | 49 | Firm change | Other |
| N•• A•••••• S•••••••• L•• | L•• F•••••••• L•• | Jul 19, 2011 | Feb 2, 2012 | 198 | Firm change | Other |
| M• H••••••• S••••••••• I••• | N•• A•••••• S•••••••• L•• | Nov 15, 2007 | Nov 20, 2007 | 5 | Firm change | Other |
| N•• A•••••• S•••••••• L•• | M• H••••••• S••••••••• I••• | Nov 2, 2006 | Dec 1, 2006 | 29 | Firm change | Other |