DFX Intelligence
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Reading the graph
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Advisor at N•••••••• A•••• M•••••••••
Southlake, TX | MERCER ISLAND, WA
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 |
|---|---|---|---|---|---|---|
| N•••••••• A•••• M••••••••• | Independent wealth | Apr 2, 2026 | n/a | yes | MERCER ISLAND, WA|Southlake, TX | Current employment |
| C• P••••••• C••• | Independent wealth | Jun 24, 2019 | May 1, 2026 | no | SOUTHLAKE, TX|PORTLAND, OR|SOUTHLAKE, TX |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| C• P••••••• C••• | N•••••••• A•••• M••••••••• | May 1, 2026 | Apr 2, 2026 | -29 | Firm change | RIA to RIA |
| F••••••• P••••••• A•• W•••••••• A••••••• | C• P••••••• C••• | Jun 21, 2019 | Jun 24, 2019 |
| F••••••• P••••••• A•• W•••••••• A••••••• | Former SEC adviser | Jul 13, 2018 | Jun 21, 2019 | no | BOSTON, MA | Previous registration |
| S•••••••• A••••••• L•• | National bd RIA | Mar 29, 2001 | Jul 13, 2018 | no | TULSA, OK|ATLANTA, GA|DALLAS, TX | Previous registration |
| 3 |
| Firm change |
| Ibd to RIA |
| S•••••••• A••••••• L•• | F••••••• P••••••• A•• W•••••••• A••••••• | Jul 13, 2018 | Jul 13, 2018 | 0 | Bulk transfer | Ibd to new firm |