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Reading the graph
Advisor at MARINER INDEPENDENT
PLANO, 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 |
|---|---|---|---|---|---|---|
| MARINER INDEPENDENT | Independent wealth | Jul 7, 2020 | n/a | yes | PLANO, TX | Current employment |
| SLOAN INVESTMENT MANAGEMENT, L.L.C. | Former SEC adviser | Oct 4, 2019 | Jul 13, 2020 | no | DALLAS, TX | Previous registration |
| SMITH ANGLIN FINANCIAL, LLC | Former SEC adviser | Feb 10, 2014 | Jun 20, 2019 | no | DALLAS, TX | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| SLOAN INVESTMENT MANAGEMENT, L.L.C. | MARINER INDEPENDENT | Jul 13, 2020 | Jul 7, 2020 | -6 | Firm change | RIA to new firm |
| SMITH ANGLIN FINANCIAL, LLC | SLOAN INVESTMENT MANAGEMENT, L.L.C. | Jun 20, 2019 | Oct 4, 2019 | 106 | Firm change | RIA to RIA |