DFX Intelligence
Reading the graph
Reading the graph
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Advisor at C•••• I••••••••• M••••••••• L••
HOUSTON, TX | Broomfield, CO
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 |
|---|---|---|---|---|---|---|
| C•••• I••••••••• M••••••••• L•• | Independent wealth | Mar 31, 2026 | n/a | yes | HOUSTON, TX|Broomfield, CO | Current employment |
| O•••• P•••••••• S••••••••• L•• | Bd affiliated wealth | Aug 25, 2023 | Jun 28, 2024 | no | OMAHA, NE |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| O•••• P•••••••• S••••••••• L•• | C•••• I••••••••• M••••••••• L•• | Jun 28, 2024 | Mar 31, 2026 | 641 | Firm change after gap | Ibd to RIA |
| C•••••• S••••• • C••• I••• | O•••• P•••••••• S••••••••• L•• | Jan 25, 2023 | Aug 25, 2023 |
| C•••••• S••••• • C••• I••• | National bd RIA | Sep 22, 2017 | Jan 25, 2023 | no | Lone Tree, CO|Lone Tree, CO|Lone Tree, CO|Denver, CO|San Francisco, CA | Previous registration |
| M••••• H••••• I••••••••• I•• | Mixed wealth | Aug 17, 2015 | Sep 20, 2017 | no | ISSAQUAH, WA|KINGSTON, NY | Previous registration |
| I••••• F•••••••• C••••••••• | Former SEC adviser | Feb 5, 2014 | Apr 8, 2014 | no | APPLETON, WI | Previous registration |
| 212 |
| Firm change |
| Ibd to ibd |
| M••••• H••••• I••••••••• I•• | C•••••• S••••• • C••• I••• | Sep 20, 2017 | Sep 22, 2017 | 2 | Firm change | Other |
| I••••• F•••••••• C••••••••• | M••••• H••••• I••••••••• I•• | Apr 8, 2014 | Aug 17, 2015 | 496 | Firm change after gap | Other |