DFX Intelligence
Data Factory
Reading the graph
Reading the graph
Advisor at COMMERCE STREET INVESTMENT MANAGEMENT
DALLAS, TX | Raleigh, NC
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 |
|---|---|---|---|---|---|---|
| COMMERCE STREET INVESTMENT MANAGEMENT | Institutional manager | Oct 20, 2020 | n/a | yes | Raleigh, NC|DALLAS, TX | Current employment |
| MMC SECURITIES LLC | Former SEC adviser | Jun 14, 2011 | Dec 31, 2019 | no | NEW YORK, NY|BOSTON, MA|Norwalk, CT|Seattle, WA | Previous registration |
| SHEPHERD KAPLAN LLC | Asset manager | Oct 23, 2009 | Jan 13, 2011 | no | BOSTON, MA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| MMC SECURITIES LLC | COMMERCE STREET INVESTMENT MANAGEMENT | Dec 31, 2019 | Oct 20, 2020 | 294 | Firm change | Other |
| SHEPHERD KAPLAN LLC | MMC SECURITIES LLC | Jan 13, 2011 | Jun 14, 2011 | 152 | Firm change | Other |