DFX Intelligence
Reading the graph
Reading the graph
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Advisor at S•••••••• A••••••• L••
BOULDER, 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 |
|---|---|---|---|---|---|---|
| S•••••••• A••••••• L•• | National bd RIA | Mar 31, 2025 | n/a | yes | BOULDER, CO | Current employment |
| F••••••• P••••••• A•• W•••••••• A••••••• | Former SEC adviser | Nov 24, 2020 | Mar 31, 2025 | no | BOSTON, MA|TUCSON, AZ|BOULDER, CO |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| F••••••• P••••••• A•• W•••••••• A••••••• | S•••••••• A••••••• L•• | Mar 31, 2025 | Mar 31, 2025 | 0 | Bulk transfer | Ibd to ibd |
| V••• I••••••••• M••••••••• C•• L•• | F••••••• P••••••• A•• W•••••••• A••••••• | Jun 17, 2014 | Nov 24, 2020 |
| V••• I••••••••• M••••••••• C•• L•• | Asset manager | Oct 15, 2012 | Jun 17, 2014 | no | NEW YORK, NY | Previous registration |
| L•••••• F•••••••• D••••••••• I••• | n/a | Apr 23, 2003 | Jun 13, 2005 | no | BOULDER, CO | Previous registration |
| S••••• C•••••• M••••••••• I•• | n/a | May 7, 2001 | Apr 4, 2003 | no | MENOMONEE FALLS, WI | Previous registration |
| 2,352 |
| Firm change after gap |
| Other |
| L•••••• F•••••••• D••••••••• I••• | V••• I••••••••• M••••••••• C•• L•• | Jun 13, 2005 | Oct 15, 2012 | 2,681 | Firm change after gap | Other |
| S••••• C•••••• M••••••••• I•• | L•••••• F•••••••• D••••••••• I••• | Apr 4, 2003 | Apr 23, 2003 | 19 | Firm change | Other |