DFX Intelligence
Reading the graph
Reading the graph
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Advisor at C••••• P••••••• L••
DENVER, CO | NEW YORK, NY
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 |
|---|---|---|---|---|---|---|
| C••••• P••••••• L•• | Independent wealth | Oct 1, 2024 | n/a | yes | DENVER, CO|NEW YORK, NY | Current employment |
| J••••••• W••••• M••••••••• | Former SEC adviser | Apr 13, 2022 | Oct 22, 2024 | no | DENVER, CO | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| J••••••• W••••• M••••••••• | C••••• P••••••• L•• | Oct 22, 2024 | Oct 1, 2024 | -21 | Firm change | RIA to RIA |
| C•••••• C•••••• M••••••••• L•• | J••••••• W••••• M••••••••• | May 17, 2022 | Apr 13, 2022 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 107156:151559:CO:2024-10-22 | Oct 22, 2024 | Oct 1, 2024 | DENVER, CO | Firm change |
| 111414:281544:MN:2015-12-31 | Dec 31, 2015 | Dec 17, 2015 | NORTHFIELD, MN | Firm change |
| C•••••• C•••••• M••••••••• L•• | Former SEC adviser | Dec 17, 2015 | May 17, 2022 | no | NORTHFIELD, MN|Rochester, MN | Previous registration |
| C•••••• C•••••• M••••••••• | Former SEC adviser | Oct 28, 2015 | Dec 31, 2015 | no | NORTHFIELD, MN | Previous registration |
| G••••••••• A•••••••• L•• | Independent wealth | Dec 10, 2013 | Oct 7, 2015 | no | TOWSON, MD|TOWSON, MD | Previous registration |
| B••••••••• W••••• • F•••••••• M••••••••• L•• | Former SEC adviser | Nov 11, 2011 | Mar 22, 2012 | no | BETHESDA, MD | Previous registration |
| J••••••• W••••• M••••••••• | Former SEC adviser | Dec 7, 2001 | Nov 8, 2011 | no | GREENWOOD VILLAGE, CO | Previous registration |
| -34 |
| Firm change after gap |
| RIA to RIA |
| C•••••• C•••••• M••••••••• | C•••••• C•••••• M••••••••• L•• | Dec 31, 2015 | Dec 17, 2015 | -14 | Channel change | Other |
| G••••••••• A•••••••• L•• | C•••••• C•••••• M••••••••• | Oct 7, 2015 | Oct 28, 2015 | 21 | Firm change | Other |
| B••••••••• W••••• • F•••••••• M••••••••• L•• | G••••••••• A•••••••• L•• | Mar 22, 2012 | Dec 10, 2013 | 628 | Firm change after gap | Other |
| J••••••• W••••• M••••••••• | B••••••••• W••••• • F•••••••• M••••••••• L•• | Nov 8, 2011 | Nov 11, 2011 | 3 | Firm change | Other |