DFX Intelligence
Reading the graph
Reading the graph
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Advisor at C•••••• F•••••••• M••••••••• L••
Allen, 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 |
|---|---|---|---|---|---|---|
| C•••••• F•••••••• M••••••••• L•• | Independent wealth | Sep 28, 2021 | n/a | yes | Allen, TX | Current employment |
| W•••• F•••••••• G•••• I••• | Independent wealth | May 18, 2016 | Dec 15, 2020 | no | McKinney, TX|DALLAS, TX|McKinney, TX |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| M••••• C•••••• M••••••••• L•• | W•••• F•••••••• G•••• I••• | May 3, 2022 | Jun 29, 2009 | -4,691 | Firm change after gap | Other |
| W•••• F•••••••• G•••• I••• | C•••••• F•••••••• M••••••••• L•• | Dec 15, 2020 | Sep 28, 2021 |
| W•••• F•••••••• G•••• I••• | Independent wealth | Jun 29, 2009 | Nov 19, 2014 | no | MCKINNEY, TX|DALLAS, TX|MCKINNEY, TX | Previous registration |
| M••••• C•••••• M••••••••• L•• | Former SEC adviser | Oct 13, 2004 | May 3, 2022 | no | DALLAS, TX|DALLAS, TX | Previous registration |
| O••••• A••••••• C••••••••• | n/a | Mar 5, 2003 | Dec 31, 2004 | no | DALLAS, TX | Previous registration |
| O••••• A••••••• C••••••••• | n/a | Jan 31, 2000 | Dec 31, 2002 | no | DALLAS, TX | Previous registration |
| 287 |
| Firm change |
| RIA to RIA |
| O••••• A••••••• C••••••••• | M••••• C•••••• M••••••••• L•• | Dec 31, 2004 | Oct 13, 2004 | -79 | Firm change after gap | Other |