DFX Intelligence
Reading the graph
Reading the graph
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Advisor at S•••••• P•••••••• L••
ENGLEWOOD, CO | OMAHA, NE
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 |
|---|---|---|---|---|---|---|
| S•••••• P•••••••• L•• | Independent wealth | Apr 9, 2024 | n/a | yes | OMAHA, NE|ENGLEWOOD, CO | Current employment |
| A••••••• F•••••••• A•••••••• L•• | Bd affiliated wealth | Feb 18, 2016 | Apr 8, 2024 | no | Littleton, CO|Englewood, CO|Arvada, CO|Denver, CO |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| A••••••• F•••••••• A•••••••• L•• | S•••••• P•••••••• L•• | Apr 8, 2024 | Apr 9, 2024 | 1 | Firm change | Ibd to RIA |
| F•••• F•••••••• G••••• I••• | A••••••• F•••••••• A•••••••• L•• | Feb 12, 2016 | Feb 18, 2016 |
| F•••• F•••••••• G••••• I••• | Former SEC adviser | Aug 12, 2015 | Feb 12, 2016 | no | GREENWOOD VILLAGE, CO | Previous registration |
| B• C• Z•••••• A•• C•••••• | Former SEC adviser | Jul 11, 2013 | Aug 13, 2015 | no | CHICAGO, IL|Denver, CO|CHICAGO, IL | Previous registration |
| A••••••••• A••••••• L•• | Former SEC adviser | Apr 26, 2011 | Aug 2, 2013 | no | GREENWOOD VILLAGE, CO|GREENWOOD VILLAGE, CO | Previous registration |
| 6 |
| Firm change |
| Other |
| B• C• Z•••••• A•• C•••••• | F•••• F•••••••• G••••• I••• | Aug 13, 2015 | Aug 12, 2015 | -1 | Firm change | Other |
| A••••••••• A••••••• L•• | B• C• Z•••••• A•• C•••••• | Aug 2, 2013 | Jul 11, 2013 | -22 | Firm change | Other |