DFX Intelligence
Reading the graph
Reading the graph
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Advisor at X••• S•••••••
Castle Rock, CO | BOZEMAN, MT
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 |
|---|---|---|---|---|---|---|
| X••• S••••••• | Independent wealth | Aug 24, 2026 | n/a | yes | BOZEMAN, MT|Castle Rock, CO | Current employment |
| E•••••• A••••••• G••••• L•• | Bd affiliated wealth | Dec 19, 2017 | Jan 6, 2026 | no | GREENWOOD VILLAGE, CO|Castle Rock, CO |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| E•••••• A••••••• G••••• L•• | X••• S••••••• | Jan 6, 2026 | Aug 24, 2026 | 230 | Firm change | Ibd to RIA |
| P•• M•••••• A•••••• S••••••••• I••• | E•••••• A••••••• G••••• L•• | Dec 18, 2017 | Dec 19, 2017 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 131308:6413:UT:2015-03-23 | Apr 3, 2015 | Apr 2, 2015 | SALT LAKE CITY, UT | Firm change |
| P•• M•••••• A•••••• S••••••••• I••• | Former SEC adviser | May 2, 2017 | Dec 18, 2017 | no | Castle Rock, CO | Previous registration |
| L•• F•••••••• L•• | Bd affiliated wealth | Apr 2, 2015 | Jun 18, 2015 | no | DENVER, CO | Previous registration |
| Z•••• C•••••• A•••••••• I••• | Institutional manager | Jul 30, 2013 | Apr 3, 2015 | no | DENVER, CO|SALT LAKE CITY, UT | Previous registration |
| Z•••• C•••••• A•••••••• I••• | Institutional manager | Jul 9, 2013 | Jul 25, 2013 | no | DENVER, CO|SALT LAKE CITY, UT | Previous registration |
| N••••••••• M••••• I••••••••• S••••••••• | No RAUM reported | May 8, 2012 | Dec 31, 2012 | no | RESTON, VA | Previous registration |
| M•• I•••••••• S•••••••• L•• | Bd affiliated wealth | Feb 17, 2011 | Mar 1, 2012 | no | FT. WASHINGTON, MD|LARGO, MD|LARGO, MD | Previous registration |
| E•••••••• A•••••••• L•• | National bd RIA | Apr 7, 2000 | Aug 24, 2009 | no | ELGIN, IL|OAK BROOK, IL | Previous registration |
| 1 |
| Firm change |
| Other |
| L•• F•••••••• L•• | P•• M•••••• A•••••• S••••••••• I••• | Jun 18, 2015 | May 2, 2017 | 684 | Firm change after gap | Other |
| Z•••• C•••••• A•••••••• I••• | L•• F•••••••• L•• | Apr 3, 2015 | Apr 2, 2015 | -1 | Firm change | Other |
| N••••••••• M••••• I••••••••• S••••••••• | Z•••• C•••••• A•••••••• I••• | Dec 31, 2012 | Jul 9, 2013 | 190 | Firm change | Other |
| M•• I•••••••• S•••••••• L•• | N••••••••• M••••• I••••••••• S••••••••• | Mar 1, 2012 | May 8, 2012 | 68 | Firm change | Other |
| E•••••••• A•••••••• L•• | M•• I•••••••• S•••••••• L•• | Aug 24, 2009 | Feb 17, 2011 | 542 | Firm change after gap | Other |