DFX Intelligence
Reading the graph
Reading the graph
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Advisor at M••••• G••••• A••••••• I•••
DENVER, CO | Wilson, WY
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 |
|---|---|---|---|---|---|---|
| M••••• G••••• A••••••• I••• | Independent wealth | Jan 7, 2026 | n/a | yes | Wilson, WY|DENVER, CO | Current employment |
| P•••••• A•••••• G••••• L•• | Bd affiliated wealth | Nov 28, 2023 | Jan 6, 2026 | no | Blowing Rock, NC|MORRISTOWN, NJ|Cashiers, NC|Wilson, WY |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| P•••••• A•••••• G••••• L•• | M••••• G••••• A••••••• I••• | Jan 6, 2026 | Jan 7, 2026 | 1 | Firm change | Ibd to RIA |
| K••• A•••••••• L•• | P•••••• A•••••• G••••• L•• | Nov 1, 2023 | Nov 28, 2023 |
| K••• A•••••••• L•• | Independent wealth | Feb 3, 2021 | Nov 1, 2023 | no | PLYMOUTH, MN | Previous registration |
| T•••••••• L•• | Former SEC adviser | Jun 14, 2019 | Feb 15, 2021 | no | Fort Mill, SC|SARASOTA, FL|Charlotte, NC | Previous registration |
| C• A••••••• S••••••• | Independent wealth | Aug 17, 2012 | Jun 17, 2019 | no | CHARLOTTE, NC|WILLIAMSTON, MI|Charlotte, NC|Huntersville, NC|Davenport, IA|Fort Mill, SC|Charlotte, NC | Previous registration |
| P••••••• C•••••• A•••••••• I••• | Former SEC adviser | Oct 11, 2007 | Aug 20, 2012 | no | CHARLOTTE, NC | Previous registration |
| M•••••• A••••• A•••••••• I••• | n/a | Jun 6, 2006 | Oct 9, 2007 | no | DAVENPORT, IA | Previous registration |
| P••• A••••• S••••••••• L•• | Bd affiliated wealth | Jan 10, 2002 | May 6, 2004 | no | DAVENPORT, IA | Previous registration |
| 27 |
| Firm change |
| RIA to ibd |
| T•••••••• L•• | K••• A•••••••• L•• | Feb 15, 2021 | Feb 3, 2021 | -12 | Firm change | RIA to new firm |
| C• A••••••• S••••••• | T•••••••• L•• | Jun 17, 2019 | Jun 14, 2019 | -3 | Firm change | RIA to RIA |
| P••••••• C•••••• A•••••••• I••• | C• A••••••• S••••••• | Aug 20, 2012 | Aug 17, 2012 | -3 | Firm change | Other |
| M•••••• A••••• A•••••••• I••• | P••••••• C•••••• A•••••••• I••• | Oct 9, 2007 | Oct 11, 2007 | 2 | Firm change | Other |
| P••• A••••• S••••••••• L•• | M•••••• A••••• A•••••••• I••• | May 6, 2004 | Jun 6, 2006 | 761 | Firm change after gap | Other |