DFX Intelligence
Reading the graph
Reading the graph
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Advisor at A• • I• W••••• M•••••••••
LONE TREE, 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 |
|---|---|---|---|---|---|---|
| A• • I• W••••• M••••••••• | Independent wealth | Jul 12, 2012 | n/a | yes | LONE TREE, CO | Current employment |
| N••••••••• M••••• I••••••••• S••••••••• | No RAUM reported | Feb 24, 2012 | Jul 5, 2012 | no | LAKEWOOD, CO | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| N••••••••• M••••• I••••••••• S••••••••• | A• • I• W••••• M••••••••• | Jul 5, 2012 | Jul 12, 2012 | 7 | Firm change | Other |
| T• A••••••••• I••••••••• M••••••••• L•• | N••••••••• M••••• I••••••••• S••••••••• | Feb 1, 2012 | Feb 24, 2012 |
| T• A••••••••• I••••••••• M••••••••• L•• | Former SEC adviser | Mar 31, 2008 | Feb 1, 2012 | no | DENVER, CO | Previous registration |
| T• A••••••••• I••• | Former SEC adviser | Mar 31, 2008 | Feb 1, 2012 | no | Denver, CO | Previous registration |
| 23 |
| Firm change |
| Other |
| T• A••••••••• I••• | T• A••••••••• I••••••••• M••••••••• L•• | Feb 1, 2012 | Mar 31, 2008 | -1,402 | Channel change | Other |