DFX Intelligence
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Reading the graph
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Advisor at O•••••••••
••• Locked
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 |
|---|---|---|---|---|---|---|
| O••••••••• | Institutional manager | Jan 2, 2015 | n/a | yes | Colorado Springs, CO|OVERLAND PARK, KS|Englewood, CO | Current employment |
| O••••••••• | Institutional manager | Dec 2, 2014 | Dec 31, 2014 | no | LITTLETON, CO|OVERLAND PARK, KS |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| I••••••••• M••••••••• C••••••••• L••• | F•••••••• T••••••• I••• | Apr 13, 2015 | Aug 30, 2012 | -956 | Firm change after gap | Other |
| G••••• R••••••••• P••••••• L•• | O••••••••• | Jan 9, 2015 | Dec 2, 2014 |
| G••••• R••••••••• P••••••• L•• | Institutional manager | Sep 23, 2014 | Jan 9, 2015 | no | LITTLETON, CA|SAN RAFAEL, CA | Previous registration |
| F•••••••• T••••••• I••• | Former SEC adviser | Aug 30, 2012 | Nov 17, 2014 | no | SAN RAFAEL, CA|LITTLETON, CO | Previous registration |
| I••••••••• M••••••••• C••••••••• L••• | Former SEC adviser | Aug 20, 2012 | Apr 13, 2015 | no | LITTLETON, CO | Previous registration |
| M•••••• • N••••• A•••••••• L•• | Mixed wealth | Feb 11, 2010 | Jul 19, 2012 | no | LARKSPUR, CO|FAIRPORT, NY | Previous registration |
| M•••••• • N••••• A••••••• A•••••••• C••••••• L•• | Former SEC adviser | Mar 1, 2007 | Jul 19, 2012 | no | SEDALIA, CO|FAIRPORT, NY|LARKSPUR, CO | Previous registration |
| A••••••• A•••• M••••••••• I••• | Mixed wealth | Mar 22, 2006 | Feb 6, 2007 | no | MONUMENT, CO|BOERNE, TX|MELVILLE, NY | Previous registration |
| P••• I••••••••• L•• | Asset manager | Jan 5, 2001 | Feb 15, 2007 | no | SEDALIA, CO | Previous registration |
| -38 |
| Firm change after gap |
| Other |
| F•••••••• T••••••• I••• | G••••• R••••••••• P••••••• L•• | Nov 17, 2014 | Sep 23, 2014 | -55 | Firm change after gap | Other |
| M•••••• • N••••• A•••••••• L•• | I••••••••• M••••••••• C••••••••• L••• | Jul 19, 2012 | Aug 20, 2012 | 32 | Firm change | Other |
| M•••••• • N••••• A••••••• A•••••••• C••••••• L•• | M•••••• • N••••• A•••••••• L•• | Jul 19, 2012 | Feb 11, 2010 | -889 | Firm change after gap | Other |
| P••• I••••••••• L•• | A••••••• A•••• M••••••••• I••• | Feb 15, 2007 | Mar 22, 2006 | -330 | Firm change after gap | Other |
| A••••••• A•••• M••••••••• I••• | M•••••• • N••••• A••••••• A•••••••• C••••••• L•• | Feb 6, 2007 | Mar 1, 2007 | 23 | Firm change | Other |