DFX Intelligence
Reading the graph
Reading the graph
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Advisor at R•••••• I•••••••••
KATY, TX | SEATTLE, WA
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 |
|---|---|---|---|---|---|---|
| R•••••• I••••••••• | Asset manager | Jul 29, 2009 | n/a | yes | KATY, TX|SEATTLE, WA | Current employment |
| T• A••••••••• I••••••••• M••••••••• L•• | Former SEC adviser | Jun 2, 2009 | Jul 15, 2009 | no | FT WORTH, TX | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| T• A••••••••• I••••••••• M••••••••• L•• | T• A••••••••• I••• | Jul 15, 2009 | Jun 2, 2009 | -43 | Firm change after gap | Other |
| T• A••••••••• I••• | T• A••••••••• I••••••••• M••••••••• L•• | Jul 15, 2009 | Jun 2, 2009 |
| T• A••••••••• I••• | Former SEC adviser | Jun 2, 2009 | Jul 15, 2009 | no | FORT WORTH, TX | Previous registration |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Wirehouse | Feb 18, 2004 | Feb 24, 2004 | no | JACKSONVILLE, FL | Previous registration |
| -43 |
| Channel change |
| Other |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | T• A••••••••• I••••••••• M••••••••• L•• | Feb 24, 2004 | Jun 2, 2009 | 1,925 | Firm change after gap | Other |