DFX Intelligence
Reading the graph
Reading the graph
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Advisor at I•••••••• F•••••••• P•••••••• L••
HOUSTON, 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 |
|---|---|---|---|---|---|---|
| I•••••••• F•••••••• P•••••••• L•• | State registered | Oct 30, 2020 | n/a | yes | HOUSTON, TX | Current employment |
| R•• R•••••••• L•• | Bd affiliated wealth | Jun 8, 2017 | Jul 10, 2017 | no | Houston, TX|NEW YORK, NY | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| R•• R•••••••• L•• | I•••••••• F•••••••• P•••••••• L•• | Jul 10, 2017 | Oct 30, 2020 | 1,208 | Firm change after gap | Other |
| G•••••• S•••• W••••• S•••••••• L••• | R•• R•••••••• L•• | Nov 22, 2016 | Jun 8, 2017 |
| G•••••• S•••• W••••• S•••••••• L••• | Bd affiliated wealth | Feb 4, 2015 | Nov 22, 2016 | no | HOUSTON, TX | Previous registration |
| A•••••••• A•••••••• L•• | Former SEC adviser | Jan 6, 2011 | Mar 31, 2014 | no | HOUSTON, TX | Previous registration |
| B••• O• A•••••• I••••••••• S•••••••• I••• | n/a | Jan 2, 2003 | Jul 8, 2003 | no | LITTLE ROCK, AR | Previous registration |
| 198 |
| Firm change |
| Other |
| A•••••••• A•••••••• L•• | G•••••• S•••• W••••• S•••••••• L••• | Mar 31, 2014 | Feb 4, 2015 | 310 | Firm change | Other |
| B••• O• A•••••• I••••••••• S•••••••• I••• | A•••••••• A•••••••• L•• | Jul 8, 2003 | Jan 6, 2011 | 2,739 | Firm change after gap | Other |