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 | Jan 2, 2025 | n/a | yes | Westlake, TX | Current employment |
| F••••••• P••••••• A•• W•••••••• A••••••• | Former SEC adviser | Jun 15, 2020 | Dec 4, 2024 | no | FORT WORTH, TX | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| F••••••• P••••••• A•• W•••••••• A••••••• | C•••••• S••••• • C••• I••• | Dec 4, 2024 | Jan 2, 2025 | 29 | Firm change | Ibd to ibd |
| T• A••••••••• I••••••••• M••••••••• L•• | T• A••••••••• I••• | May 27, 2020 | Jan 17, 2017 |
| T• A••••••••• I••••••••• M••••••••• L•• | Former SEC adviser | Jan 17, 2017 | May 27, 2020 | no | Fort Worth, TX|Southlake, TX | Previous registration |
| T• A••••••••• I••• | Former SEC adviser | Jan 17, 2017 | May 27, 2020 | no | WestLake, TX | Previous registration |
| S•••••••• A••••••• L•• | National bd RIA | Oct 10, 2012 | Jan 25, 2017 | no | WESTLAKE, TX | Previous registration |
| -1,226 |
| Firm change after gap |
| Other |
| T• A••••••••• I••• | T• A••••••••• I••••••••• M••••••••• L•• | May 27, 2020 | Jan 17, 2017 | -1,226 | Channel change | Other |
| S•••••••• A••••••• L•• | T• A••••••••• I••••••••• M••••••••• L•• | Jan 25, 2017 | Jan 17, 2017 | -8 | Firm change | Other |