DFX Intelligence
Reading the graph
Reading the graph
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Advisor at C•••• A•••••••• L••
Rockwall, TX | OVERLAND P•••, KS
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•••• A•••••••• L•• | Independent wealth | Sep 17, 2025 | n/a | yes | Rockwall, TX|OVERLAND P•••, KS | Current employment |
| A•••• W••••• A•••••••• L•• | Bd affiliated wealth | Jul 17, 2020 | May 1, 2025 | no | CHICAGO, IL|Rockwall, TX |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| A•••• W••••• A•••••••• L•• | C•••• A•••••••• L•• | May 1, 2025 | Sep 17, 2025 | 139 | Firm change | Ibd to RIA |
| P••• A••••• S••••••••• L•• | A•••• W••••• A•••••••• L•• | Aug 3, 2020 | Jul 17, 2020 |
| P••• A••••• S••••••••• L•• | Bd affiliated wealth | Apr 29, 2019 | Aug 3, 2020 | no | DALLAS, TX | Previous registration |
| C••••• W••••• M••••••••• L•• | State registered | Mar 6, 2017 | Dec 12, 2018 | no | ROCKWALL, TX|THE COLONY, TX | Previous registration |
| S•••••••• A••••••• L•• | National bd RIA | Nov 19, 2012 | May 6, 2015 | no | WESTLAKE, TX | Previous registration |
| -17 |
| Firm change |
| Ibd to ibd |
| C••••• W••••• M••••••••• L•• | P••• A••••• S••••••••• L•• | Dec 12, 2018 | Apr 29, 2019 | 138 | Firm change | Other |
| S•••••••• A••••••• L•• | C••••• W••••• M••••••••• L•• | May 6, 2015 | Mar 6, 2017 | 670 | Firm change after gap | Ibd to state RIA |