DFX Intelligence
Reading the graph
Reading the graph
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Advisor at G••••••••• A•••••••
DALLAS, 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 |
|---|---|---|---|---|---|---|
| G••••••••• A••••••• | Independent wealth | Jan 30, 2024 | n/a | yes | DALLAS, TX | Current employment |
| C•••••• S••••• • C••• I••• | National bd RIA | May 23, 2020 | Aug 31, 2023 | no | Westlake, TX|Westlake, TX|Omaha, NE | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| C•••••• S••••• • C••• I••• | G••••••••• A••••••• | Aug 31, 2023 | Jan 30, 2024 | 152 | Firm change | Ibd to RIA |
| U••• I••••••••• S••••••• C•••••• | C•••••• S••••• • C••• I••• | May 24, 2020 | May 23, 2020 |
| U••• I••••••••• S••••••• C•••••• | No RAUM reported | Jan 8, 2018 | May 24, 2020 | no | SAN ANTONIO, TX | Previous registration |
| U••• F•••••••• P••••••• S••••••• | Former SEC adviser | Oct 20, 2011 | Jan 8, 2018 | no | ADDISON, TX | Previous registration |
| E•••••••• A•••••••• L•• | National bd RIA | Apr 25, 2007 | Jun 9, 2010 | no | PLANO, TX|DALLAS, TX | Previous registration |
| -1 |
| Bulk transfer |
| Ibd to ibd |
| U••• F•••••••• P••••••• S••••••• | U••• I••••••••• S••••••• C•••••• | Jan 8, 2018 | Jan 8, 2018 | 0 | Bulk transfer | Other |
| E•••••••• A•••••••• L•• | U••• F•••••••• P••••••• S••••••• | Jun 9, 2010 | Oct 20, 2011 | 498 | Firm change after gap | Ibd to new firm |