DFX Intelligence
Reading the graph
Reading the graph
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Advisor at M••••• C••••••• L••
DENVER, 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 |
|---|---|---|---|---|---|---|
| M••••• C••••••• L•• | Asset manager | Mar 4, 2024 | n/a | yes | DENVER, CO | Current employment |
| F•••• C•••••• A••••••• L•• | Asset manager | Jan 5, 2023 | Oct 2, 2023 | no | DENVER, CO | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| F•••• C•••••• A••••••• L•• | M••••• C••••••• L•• | Oct 2, 2023 | Mar 4, 2024 | 154 | Firm change | Other |
| C•••••• S••••• • C••• I••• | F•••• C•••••• A••••••• L•• | Nov 4, 2022 | Jan 5, 2023 |
| C•••••• S••••• • C••• I••• |
| National bd RIA |
| May 22, 2019 |
| Nov 4, 2022 |
| no |
| Lone Tree, CO |
| Previous registration |
| G••••• F•••••••• P•••••• C••••••• I••• | Former SEC adviser | Jun 11, 2018 | Apr 17, 2019 | no | GREENWOOD VILLAGE, CO|SARASOTA, FL | Previous registration |
| N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• | Former SEC adviser | Feb 11, 2016 | Nov 10, 2017 | no | DENVER, CO | Previous registration |
| 62 |
| Firm change |
| Other |
| G••••• F•••••••• P•••••• C••••••• I••• | C•••••• S••••• • C••• I••• | Apr 17, 2019 | May 22, 2019 | 35 | Firm change | Ibd to ibd |
| N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• | G••••• F•••••••• P•••••• C••••••• I••• | Nov 10, 2017 | Jun 11, 2018 | 213 | Firm change | Other |