DFX Intelligence
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Reading the graph
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Advisor at K•• P••••••• L••
Richardson, 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 |
|---|---|---|---|---|---|---|
| K•• P••••••• L•• | State registered | Jul 14, 2026 | n/a | yes | Richardson, TX | Current employment |
| T••••• W•••••• L••••• | Independent wealth | Jun 1, 2021 | May 1, 2026 | no | FRISCO, TX|SCOTTSDALE, AZ|SOUTHLAKE, TX | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| T••••• W•••••• L••••• | K•• P••••••• L•• | May 1, 2026 | Jul 14, 2026 | 74 | Firm change | RIA to state RIA |
| H•• I••••••••• P•••••••• L•• | T••••• W•••••• L••••• | Jun 7, 2021 | Jun 1, 2021 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 112685:307956:TX:2020-12-08 | Dec 8, 2020 | Jul 3, 2020 | AUSTIN, TX | Firm change after gap |
| H•• I••••••••• P•••••••• L•• | Independent wealth | Jul 3, 2020 | Jun 7, 2021 | no | AUSTIN, TX|Addison, TX | Previous registration |
| T•• A•••••••• L• | Former SEC adviser | May 7, 2020 | Dec 8, 2020 | no | AUSTIN, TX | Previous registration |
| L•• F•••••••• L•• | Bd affiliated wealth | May 16, 2019 | Mar 11, 2020 | no | DALLAS, TX|DALLAS, TX|FORT MILL, SC | Previous registration |
| C•••••• S••••• • C••• I••• | National bd RIA | Oct 31, 2014 | May 29, 2019 | no | Dallas, TX | Previous registration |
| A••••• A•• P••••••• S••••••• | Bd affiliated wealth | Sep 23, 2013 | Oct 14, 2014 | no | Omaha, NE|LINCOLN, NE | Previous registration |
| M••••• S•••••• | Wirehouse | Apr 2, 2012 | Sep 12, 2013 | no | LINCOLN, NE | Previous registration |
| W•••• F•••• A••••••• | Wirehouse | Jan 3, 2011 | Mar 30, 2012 | no | NORFOLK, NE|WEST POINT, NE|LINCOLN, NE | Previous registration |
| W•••• F•••• I••••••••• L•• | n/a | Jul 25, 2008 | Jan 3, 2011 | no | LINCOLN, NE|RALSTON, NE|OMAHA, NE|WEST POINT, NE|NORFOLK, NE | Previous registration |
| C•••••• S••••• • C••• I••• | National bd RIA | Sep 29, 2003 | Jul 14, 2008 | no | Lincoln, NE|ENGLEWOOD, CO | Previous registration |
| -6 |
| Firm change |
| Other |
| T•• A•••••••• L• | H•• I••••••••• P•••••••• L•• | Dec 8, 2020 | Jul 3, 2020 | -158 | Firm change after gap | Other |
| L•• F•••••••• L•• | T•• A•••••••• L• | Mar 11, 2020 | May 7, 2020 | 57 | Firm change | Other |
| C•••••• S••••• • C••• I••• | L•• F•••••••• L•• | May 29, 2019 | May 16, 2019 | -13 | Firm change | Ibd to RIA |
| A••••• A•• P••••••• S••••••• | C•••••• S••••• • C••• I••• | Oct 14, 2014 | Oct 31, 2014 | 17 | Firm change | Other |
| M••••• S•••••• | A••••• A•• P••••••• S••••••• | Sep 12, 2013 | Sep 23, 2013 | 11 | Firm change | Other |
| W•••• F•••• A••••••• | M••••• S•••••• | Mar 30, 2012 | Apr 2, 2012 | 3 | Firm change | Wirehouse to wirehouse |
| W•••• F•••• I••••••••• L•• | W•••• F•••• A••••••• | Jan 3, 2011 | Jan 3, 2011 | 0 | Bulk transfer | Other |
| C•••••• S••••• • C••• I••• | W•••• F•••• I••••••••• L•• | Jul 14, 2008 | Jul 25, 2008 | 11 | Firm change | Other |