DFX Intelligence
Reading the graph
Reading the graph
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Advisor at S•••••• A•••• M••••••••• L••
HOUSTON, 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 |
|---|---|---|---|---|---|---|
| S•••••• A•••• M••••••••• L•• | State registered | Oct 30, 2013 | n/a | yes | HOUSTON, TX | Current employment |
| K••• I••••••••• A•••••••• I••• | Former SEC adviser | Jun 13, 2003 | Jan 10, 2014 | no | HOUSTON, TX | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| K••• I••••••••• A•••••••• I••• | S•••••• A•••• M••••••••• L•• | Jan 10, 2014 | Oct 30, 2013 | -72 | Firm change after gap | Other |
| F•••••••• S•••••••• W••••• A•••••••• I••• | K••• I••••••••• A•••••••• I••• | Jun 26, 2003 | Jun 13, 2003 |
| F•••••••• S•••••••• W••••• A•••••••• I••• | n/a | Jan 22, 2003 | Jun 26, 2003 | no | HOUSTON, TX | Previous registration |
| F•••••••• S•••••••• | Independent wealth | Feb 12, 1999 | Jun 26, 2003 | no | HOUSTON, TX | Previous registration |
| -13 |
| Firm change |
| Other |
| F•••••••• S•••••••• | F•••••••• S•••••••• W••••• A•••••••• I••• | Jun 26, 2003 | Jan 22, 2003 | -155 | Firm change after gap | Other |