DFX Intelligence
Reading the graph
Reading the graph
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Advisor at S•••••••• A••••••• L••
BOULDER, CO | BROOMFIELD, 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|BROOMFIELD, CO | Current employment |
| F••••••• P••••••• A•• W•••••••• A••••••• | Former SEC adviser | Jul 13, 2018 | Mar 31, 2025 | no | BOSTON, MA|SAN DIEGO, CA|SAN DIEGO, CA |
| 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 |
| S•••••••• A••••••• L•• | F••••••• P••••••• A•• W•••••••• A••••••• | Jul 13, 2018 | Jul 13, 2018 |
| S•••••••• A••••••• L•• | National bd RIA | Nov 25, 2015 | Jul 13, 2018 | no | FT. LAUDERDALE, FL|FT. LAUDERDALE, FL | Previous registration |
| M•• F•••••••• S•••••••• I••• | Former SEC adviser | May 6, 2014 | Sep 11, 2015 | no | BELLEVUE, WA | Previous registration |
| M•• F•••••••• S•••••••• I••• | Former SEC adviser | Feb 25, 2011 | Aug 28, 2012 | no | SAN DIEGO, CA | Previous registration |
| J••• H•••••• I••••••••• M••••••••• L•• | Asset manager | Dec 8, 2008 | Dec 31, 2010 | no | CHATTANOOGA, TN|BOSTON, MA | Previous registration |
| J••• H•••••• D••••••••• L•• | n/a | Oct 24, 2006 | Dec 31, 2006 | no | BOSTON, MA|CHATTANOOGA, TN | Previous registration |
| A••••••••• F•••••••• S•••••••• L•• | National bd RIA | Jun 17, 2005 | Sep 12, 2006 | no | ROCKVILLE, MD|GAITHERSBURG, MD | Previous registration |
| 0 |
| Bulk transfer |
| Ibd to new firm |
| M•• F•••••••• S•••••••• I••• | S•••••••• A••••••• L•• | Sep 11, 2015 | Nov 25, 2015 | 75 | Firm change | Other |
| J••• H•••••• I••••••••• M••••••••• L•• | M•• F•••••••• S•••••••• I••• | Dec 31, 2010 | Feb 25, 2011 | 56 | Firm change | Other |
| J••• H•••••• D••••••••• L•• | J••• H•••••• I••••••••• M••••••••• L•• | Dec 31, 2006 | Dec 8, 2008 | 708 | Firm change after gap | Other |
| A••••••••• F•••••••• S•••••••• L•• | J••• H•••••• D••••••••• L•• | Sep 12, 2006 | Oct 24, 2006 | 42 | Firm change | Other |