DFX Intelligence
Reading the graph
Reading the graph
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Advisor at H••••••• W••••• P•••••••• L••
BATON ROUGE, LA
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 |
|---|---|---|---|---|---|---|
| H••••••• W••••• P•••••••• L•• | Independent wealth | Jul 29, 2022 | n/a | yes | BATON ROUGE, LA | Current employment |
| S•••••• W••••• P•••••••• L•• | Bd affiliated wealth | Jan 26, 2016 | Aug 4, 2022 | no | BATON ROUGE, LA|FALLBROOK, CA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| S•••••• W••••• P•••••••• L•• | H••••••• W••••• P•••••••• L•• | Aug 4, 2022 | Jul 29, 2022 | -6 | Firm change | Ibd to new firm |
| C•••••• O•• A•••••••• L•• | S•••••• W••••• P•••••••• L•• | Jan 27, 2016 | Jan 26, 2016 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 136865:153184:WA:2016-01-22 | Jan 27, 2016 | Jan 26, 2016 | SEATTLE, WA | Firm change |
| C•••••• O•• A•••••••• L•• | Former SEC adviser | Jan 28, 2015 | Jan 27, 2016 | no | SEATTLE, WA | Previous registration |
| C•••••• O•• F•••••••• A••••••• L•• | n/a | Jul 14, 2011 | Jan 28, 2015 | no | MELVILLE, NY|GONZALES, LA | Previous registration |
| -1 |
| Firm change |
| Other |
| C•••••• O•• F•••••••• A••••••• L•• | C•••••• O•• A•••••••• L•• | Jan 28, 2015 | Jan 28, 2015 | 0 | Bulk transfer | Other |