DFX Intelligence
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Reading the graph
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Advisor at B•••••••••
Southlake, TX | SAN FRANCISCO, CA
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 |
|---|---|---|---|---|---|---|
| B••••••••• | Independent wealth | Apr 23, 2024 | n/a | yes | Southlake, TX|SAN FRANCISCO, CA | Current employment |
| C•••••• S••••• • C••• I••• | National bd RIA | May 15, 2020 | May 6, 2024 | no | Richfield, OH|Westlake, TX | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| C•••••• S••••• • C••• I••• | B••••••••• | May 6, 2024 | Apr 23, 2024 | -13 | Firm change | Ibd to RIA |
| F••••••• P••••••• A•• W•••••••• A••••••• | C•••••• S••••• • C••• I••• | Apr 15, 2020 | May 15, 2020 |
| F••••••• P••••••• A•• W•••••••• A••••••• | Former SEC adviser | Jul 13, 2018 | Apr 15, 2020 | no | BOSTON, MA | Previous registration |
| S•••••••• A••••••• L•• | National bd RIA | Nov 12, 2012 | Jul 13, 2018 | no | MILLBURN, NJ|NEW YORK, NY|JERSEY CITY, NJ | Previous registration |
| 30 |
| Firm change |
| Ibd to ibd |
| S•••••••• A••••••• L•• | F••••••• P••••••• A•• W•••••••• A••••••• | Jul 13, 2018 | Jul 13, 2018 | 0 | Bulk transfer | Ibd to new firm |