DFX Intelligence
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Reading the graph
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Advisor at C••••• C•••••• A•••••••• L••
TULSA, OK
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••••• C•••••• A•••••••• L•• | Independent wealth | Jun 20, 2019 | n/a | yes | TULSA, OK | Current employment |
| B• R•••• W••••• M••••••••• | Former SEC adviser | Dec 17, 2012 | Jun 18, 2019 | no | Memphis, TN|TULSA, OK | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| B• R•••• W••••• M••••••••• | C••••• C•••••• A•••••••• L•• | Jun 18, 2019 | Jun 20, 2019 | 2 | Firm change | Ibd to RIA |
| S•••••• M••••• L•• | B• R•••• W••••• M••••••••• | Dec 17, 2012 | Dec 17, 2012 |
| S•••••• M••••• L•• | Independent wealth | Jun 16, 2006 | Dec 17, 2012 | no | TULSA, OK | Previous registration |
| S•• C•••••• A••••••• L•• | Institutional manager | Feb 18, 2004 | Dec 31, 2006 | no | TULSA, OK | Previous registration |
| P•••• S•••••• • C•• | Institutional manager | Jun 13, 2001 | Dec 5, 2003 | no | TULSA, OK | Previous registration |
| 0 |
| Firm change |
| Other |
| S•• C•••••• A••••••• L•• | S•••••• M••••• L•• | Dec 31, 2006 | Jun 16, 2006 | -198 | Bulk transfer | Other |
| P•••• S•••••• • C•• | S•• C•••••• A••••••• L•• | Dec 5, 2003 | Feb 18, 2004 | 75 | Firm change | Other |