DFX Intelligence
Reading the graph
Reading the graph
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Advisor at S••••• C•••••• L••
MINTURN, 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 |
|---|---|---|---|---|---|---|
| S••••• C•••••• L•• | State registered | Mar 12, 2019 | n/a | yes | MINTURN, CO | Current employment |
| S•••••••• W••••• P••••••• | Independent wealth | Dec 22, 2016 | Feb 1, 2019 | no | Denver, CO|RICHARDSON, TX | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| S•••••••• W••••• P••••••• | S••••• C•••••• L•• | Feb 1, 2019 | Mar 12, 2019 | 39 | Firm change | RIA to state RIA |
| W•••••• • R••• | S•••••••• W••••• P••••••• | Dec 21, 2015 | Dec 22, 2016 |
| W•••••• • R••• | Former SEC adviser | Nov 13, 2015 | Dec 21, 2015 | no | DENVER, CO | Previous registration |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Wirehouse | Sep 14, 2011 | Jun 10, 2015 | no | SANTA FE, NM | Previous registration |
| R•••••• C•••• C••••••• L•• | n/a | Jan 17, 2008 | Dec 31, 2008 | no | MILL VALLEY, CA | Previous registration |
| R•••••• C•••• C••••••• L•• | n/a | Jan 1, 2006 | Dec 31, 2007 | no | MILL VALLEY, CA | Previous registration |
| 367 |
| Firm change |
| Other |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | W•••••• • R••• | Jun 10, 2015 | Nov 13, 2015 | 156 | Firm change | Other |
| R•••••• C•••• C••••••• L•• | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Dec 31, 2008 | Sep 14, 2011 | 987 | Firm change after gap | Other |