DFX Intelligence
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Reading the graph
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Advisor at Q• A•••••••• L••
ARVADA, 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 |
|---|---|---|---|---|---|---|
| Q• A•••••••• L•• | No RAUM reported | Jan 5, 2021 | n/a | yes | ARVADA, CO | Current employment |
| E•••• M••••••• A•••••••• L•• | n/a | Mar 12, 2014 | Dec 31, 2017 | no | CONROE, TX | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| E•••• M••••••• A•••••••• L•• | Q• A•••••••• L•• | Dec 31, 2017 | Jan 5, 2021 | 1,101 | Firm change after gap | Other |
| W•••••• F•••••••• G•••• I•• | E•••• M••••••• A•••••••• L•• | Mar 1, 2017 | Mar 12, 2014 |
| W•••••• F•••••••• G•••• I•• | Former SEC adviser | Aug 28, 2003 | Mar 1, 2017 | no | CONROE, TX|MONTGOMERY, TX | Previous registration |
| S•• C•••••• A••••••• L•• | Institutional manager | Oct 24, 2002 | Jul 22, 2003 | no | MONTGOMERY, TX | Previous registration |
| -1,085 |
| Firm change after gap |
| Other |
| S•• C•••••• A••••••• L•• | W•••••• F•••••••• G•••• I•• | Jul 22, 2003 | Aug 28, 2003 | 37 | Firm change | Other |