DFX Intelligence
Reading the graph
Reading the graph
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Advisor at R••••••••• A•• W••••• A• A••••••• L••
Austin, 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 |
|---|---|---|---|---|---|---|
| R••••••••• A•• W••••• A• A••••••• L•• | Institutional manager | Jun 29, 2018 | n/a | yes | Austin, TX | Current employment |
| C•• P••••••• R••••••••• S••••••• | Former SEC adviser | Apr 12, 2018 | Jul 9, 2018 | no | AUSTIN, TX |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| C•• P••••••• R••••••••• S••••••• | R••••••••• A•• W••••• A• A••••••• L•• | Jul 9, 2018 | Jun 29, 2018 | -10 | Firm change | Other |
| K••••• A••••••• S•••••••• L•• | C•• P••••••• R••••••••• S••••••• | Apr 16, 2018 | Apr 12, 2018 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 181518:167970:TX:2018-07-09 | Jul 9, 2018 | Jun 29, 2018 | AUSTIN, TX | Firm change |
| K••••• A••••••• S•••••••• L•• | Bd affiliated wealth | Apr 25, 2016 | Apr 16, 2018 | no | New York, NY | Previous registration |
| N•• A•••••• S•••••••• L•• | Former SEC adviser | Dec 15, 2014 | Sep 22, 2016 | no | NEW YORK, NY | Previous registration |
| C•••• I••••••••• S••••••• C•••• | Former SEC adviser | Mar 23, 2010 | Jan 25, 2011 | no | MAMARONECK, NY | Previous registration |
| E•••••••• A•••••••• L•• | National bd RIA | Jul 16, 2009 | Apr 6, 2010 | no | GREENWICH, CT | Previous registration |
| A••••••••• F•••••••• S•••••••• L•• | National bd RIA | Jun 1, 2006 | May 11, 2009 | no | GREENWICH, CT|HARRISON, NY | Previous registration |
| M••••• S•••••• D• I••• | n/a | Sep 26, 2005 | Apr 3, 2006 | no | GREENWICH, CT|GREENWICH, CT | Previous registration |
| -4 |
| Firm change |
| Other |
| N•• A•••••• S•••••••• L•• | K••••• A••••••• S•••••••• L•• | Sep 22, 2016 | Apr 25, 2016 | -150 | Bulk transfer | Other |
| C•••• I••••••••• S••••••• C•••• | N•• A•••••• S•••••••• L•• | Jan 25, 2011 | Dec 15, 2014 | 1,420 | Firm change after gap | Other |
| E•••••••• A•••••••• L•• | C•••• I••••••••• S••••••• C•••• | Apr 6, 2010 | Mar 23, 2010 | -14 | Firm change | Other |
| A••••••••• F•••••••• S•••••••• L•• | E•••••••• A•••••••• L•• | May 11, 2009 | Jul 16, 2009 | 66 | Firm change | Ibd to ibd |
| M••••• S•••••• D• I••• | A••••••••• F•••••••• S•••••••• L•• | Apr 3, 2006 | Jun 1, 2006 | 59 | Firm change | Other |