DFX Intelligence
Reading the graph
Reading the graph
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Advisor at L•• F•••••••• L••
MCKINNEY, 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 |
|---|---|---|---|---|---|---|
| L•• F•••••••• L•• | Bd affiliated wealth | Dec 14, 2023 | n/a | yes | MCKINNEY, TX|MCKINNEY, TX | Current employment |
| S•• W••••• | Independent wealth | Mar 4, 2022 | Dec 18, 2023 | no | Richardson, TX | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| S•• W••••• | L•• F•••••••• L•• | Dec 18, 2023 | Dec 14, 2023 | -4 | Firm change | Ibd to ibd |
| S•• I••••••••• S••••••• I••• | S•• W••••• | Jul 29, 2022 | Mar 4, 2022 |
| S•• I••••••••• S••••••• I••• |
| Former SEC adviser |
| Mar 17, 2021 |
| Jul 29, 2022 |
| no |
| Richardson, TX|Dallas, TX|Austin, TX|Cottonwood Heights, UT |
| Previous registration |
| D••••••••• F••• A••••••• L• | Asset manager | Dec 23, 2014 | Oct 2, 2019 | no | AUSTIN, TX|CHARLOTTE, NC | Previous registration |
| U••• F•••••••• P••••••• S••••••• | Former SEC adviser | Jun 10, 2009 | Apr 18, 2013 | no | SAN ANTONIO, TX|DALLAS, TX | Previous registration |
| B••• O• A•••••• I••••••••• S•••••••• I••• | n/a | Mar 12, 2008 | Mar 18, 2009 | no | DALLAS, TX | Previous registration |
| A••••••••• F•••••••• S•••••••• L•• | National bd RIA | Dec 15, 2006 | Feb 28, 2008 | no | DALLAS, TX|SOUTHLAKE, TX | Previous registration |
| Bulk transfer |
| Ibd to RIA |
| D••••••••• F••• A••••••• L• | S•• I••••••••• S••••••• I••• | Oct 2, 2019 | Mar 17, 2021 | 532 | Firm change after gap | Other |
| U••• F•••••••• P••••••• S••••••• | D••••••••• F••• A••••••• L• | Apr 18, 2013 | Dec 23, 2014 | 614 | Firm change after gap | Other |
| B••• O• A•••••• I••••••••• S•••••••• I••• | U••• F•••••••• P••••••• S••••••• | Mar 18, 2009 | Jun 10, 2009 | 84 | Firm change | Other |
| A••••••••• F•••••••• S•••••••• L•• | B••• O• A•••••• I••••••••• S•••••••• I••• | Feb 28, 2008 | Mar 12, 2008 | 13 | Firm change | Other |