DFX Intelligence
Reading the graph
Reading the graph
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Advisor at A••••••• F••••••••• L•••
DENVER, CO | FOLSOM, CA
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••••••• F••••••••• L••• | Bd affiliated wealth | Oct 14, 2024 | n/a | yes | DENVER, CO|FOLSOM, CA | Current employment |
| W••••• E••••••••• A••••••• S•••••••• L•• | Bd affiliated wealth | Jan 2, 2021 | Aug 14, 2024 | no | DENVER, CO|PLYMOUTH, MN|DENVER, CO |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| W••••• E••••••••• A••••••• S•••••••• L•• | A••••••• F••••••••• L••• | Aug 14, 2024 | Oct 14, 2024 | 61 | Firm change | Ibd to ibd |
| C••• C••••••• L•• | W••••• E••••••••• A••••••• S•••••••• L•• | Dec 15, 2020 | Jan 2, 2021 |
| C••• C••••••• L•• | Independent wealth | Aug 27, 2018 | Dec 15, 2020 | no | Denver, CO|CHICAGO, IL | Previous registration |
| W•••• F•••• A••••••• | Wirehouse | Nov 10, 2017 | Aug 21, 2018 | no | MINNEAPOLIS, MN|DENVER, CO | Previous registration |
| U•• F•••••••• S••••••• I••• | Wirehouse | Feb 23, 2016 | Dec 12, 2016 | no | DENVER, CO | Previous registration |
| M••••• S•••••• | Wirehouse | Jun 1, 2009 | Oct 14, 2011 | no | New York, NY | Previous registration |
| M••••• S•••••• • C•• L•• | n/a | Feb 26, 2007 | Jun 1, 2009 | no | NEW YORK, NY | Previous registration |
| G••••••••• I••••••••• A•••••••• L•• | Other adviser | Feb 2, 2006 | Mar 5, 2007 | no | NEW YORK, NY | Previous registration |
| 18 |
| Firm change |
| RIA to ibd |
| W•••• F•••• A••••••• | C••• C••••••• L•• | Aug 21, 2018 | Aug 27, 2018 | 6 | Firm change | Wirehouse to RIA |
| U•• F•••••••• S••••••• I••• | W•••• F•••• A••••••• | Dec 12, 2016 | Nov 10, 2017 | 333 | Firm change | Wirehouse to wirehouse |
| M••••• S•••••• | U•• F•••••••• S••••••• I••• | Oct 14, 2011 | Feb 23, 2016 | 1,593 | Firm change after gap | Wirehouse to wirehouse |
| M••••• S•••••• • C•• L•• | M••••• S•••••• | Jun 1, 2009 | Jun 1, 2009 | 0 | Bulk transfer | Other |
| G••••••••• I••••••••• A•••••••• L•• | M••••• S•••••• • C•• L•• | Mar 5, 2007 | Feb 26, 2007 | -7 | Firm change | Other |