DFX Intelligence
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Reading the graph
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Advisor at P••••••••• C••••••
ROGERS, AR
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 |
|---|---|---|---|---|---|---|
| P••••••••• C•••••• | State registered | Jun 24, 2024 | n/a | yes | ROGERS, AR | Current employment |
| 4• F•••••••• | Independent wealth | Jan 4, 2023 | Jul 1, 2024 | no | AUSTIN, TX | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| 4• F•••••••• | P••••••••• C•••••• | Jul 1, 2024 | Jun 24, 2024 | -7 | Firm change | RIA to state RIA |
| T••••••• A•••••• N••••••• L•• | 4• F•••••••• | Dec 31, 2022 | Jan 4, 2023 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 6627:125648:TX:2019-10-29 | Nov 25, 2019 | Dec 17, 2019 | AUSTIN, TX | Firm change |
| Bd affiliated wealth |
| Jun 23, 2020 |
| Dec 31, 2022 |
| no |
| Austin, TX|MINNEAPOLIS, MN |
| Previous registration |
| P•• A••••••• S•••••••• L•• | Independent wealth | Dec 17, 2019 | Jul 2, 2020 | no | ALBANY, NY | Previous registration |
| E•••••••• A•••••••• L•• | National bd RIA | Aug 30, 2017 | Nov 25, 2019 | no | AUSTIN, TX|BRYAN, TX|AUSTIN, TX | Previous registration |
| Bulk transfer |
| Ibd to new firm |
| P•• A••••••• S•••••••• L•• | T••••••• A•••••• N••••••• L•• | Jul 2, 2020 | Jun 23, 2020 | -9 | Bulk transfer | RIA to RIA |
| E•••••••• A•••••••• L•• | P•• A••••••• S•••••••• L•• | Nov 25, 2019 | Dec 17, 2019 | 22 | Firm change | Ibd to RIA |