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Reading the graph
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Advisor at A••••••••• F•••••••• S•••••••• L••
The Woodlands, TX | 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 |
|---|---|---|---|---|---|---|
| A••••••••• F•••••••• S•••••••• L•• | National bd RIA | Apr 30, 2025 | n/a | yes | HOUSTON, TX|The Woodlands, TX | Current employment |
| C•••••• S••••• • C••• I••• | National bd RIA | Dec 12, 2018 | Apr 5, 2025 | no | The Woodlands, TX |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| C•••••• S••••• • C••• I••• | A••••••••• F•••••••• S•••••••• L•• | Apr 5, 2025 | Apr 30, 2025 | 25 | Firm change | Ibd to ibd |
| T• A••••••••• I••• | T• A••••••••• I••••••••• M••••••••• L•• | Nov 30, 2018 | Feb 28, 2017 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 111514:7870:TX:2018-11-19 | Nov 30, 2018 | Feb 28, 2017 | WOODLANDS, TX | Firm change after gap |
| T• A••••••••• I••••••••• M••••••••• L•• | Former SEC adviser | Feb 28, 2017 | Nov 30, 2018 | no | HOUSTON, TX|Woodlands, TX | Previous registration |
| T• A••••••••• I••• | Former SEC adviser | Feb 28, 2017 | Nov 30, 2018 | no | HOUSTON, TX|Omaha, NE|The Woodlands, TX | Previous registration |
| A•••• W••••• | Independent wealth | May 17, 2016 | Feb 3, 2017 | no | THE WOODLANDS, TX | Previous registration |
| M••••• G••••• A••••••• I••• | Independent wealth | Apr 13, 2015 | Apr 20, 2016 | no | SUGAR LAND, TX | Previous registration |
| S•••••••• A••••••• L•• | National bd RIA | Nov 9, 2006 | Mar 13, 2015 | no | THE WOODLANDS, TX | Previous registration |
| -640 |
| Channel change |
| Other |
| T• A••••••••• I••••••••• M••••••••• L•• | C•••••• S••••• • C••• I••• | Nov 30, 2018 | Dec 12, 2018 | 12 | Firm change | RIA to ibd |
| A•••• W••••• | T• A••••••••• I••• | Feb 3, 2017 | Feb 28, 2017 | 25 | Firm change | Other |
| M••••• G••••• A••••••• I••• | A•••• W••••• | Apr 20, 2016 | May 17, 2016 | 27 | Firm change | Other |
| S•••••••• A••••••• L•• | M••••• G••••• A••••••• I••• | Mar 13, 2015 | Apr 13, 2015 | 31 | Firm change | Other |