DFX Intelligence
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Reading the graph
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Advisor at T•••••••
WESTMINSTER, 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 |
|---|---|---|---|---|---|---|
| T••••••• | Independent wealth | Apr 12, 2019 | n/a | yes | WESTMINSTER, CO | Current employment |
| A••••• A•• P••••••• S••••••• | Bd affiliated wealth | Aug 7, 2014 | Mar 18, 2019 | no | BOULDER, CO | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| A••••• A•• P••••••• S••••••• | T••••••• | Mar 18, 2019 | Apr 12, 2019 | 25 | Firm change | Ibd to RIA |
| U••• F•••••••• P••••••• S••••••• | A••••• A•• P••••••• S••••••• | Jul 17, 2014 | Aug 7, 2014 |
| U••• F•••••••• P••••••• S••••••• |
| Former SEC adviser |
| Dec 18, 2012 |
| Jul 17, 2014 |
| no |
| PHOENIX, AZ |
| Previous registration |
| E••••• J•••• | National bd RIA | May 3, 2010 | Nov 20, 2012 | no | TEMPE, AZ|GLENDALE, AZ | Previous registration |
| E••••• J•••• | National bd RIA | Sep 8, 2009 | Mar 15, 2010 | no | SAN DIEGO, CA|ST LOUIS, MO | Previous registration |
| 21 |
| Firm change |
| Other |
| E••••• J•••• | U••• F•••••••• P••••••• S••••••• | Nov 20, 2012 | Dec 18, 2012 | 28 | Firm change | Ibd to new firm |