DFX Intelligence
Reading the graph
Reading the graph
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Advisor at A•••• W••••• S••••••••• L••
ARVADA, 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•••• W••••• S••••••••• L•• | Independent wealth | Jul 25, 2023 | n/a | yes | ARVADA, CO | Current employment |
| C••••••••• C•••••• L•• | Former SEC adviser | Jan 20, 2017 | Jan 6, 2025 | no | LAKEWOOD, CO | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| C••••••••• C•••••• L•• | A•••• W••••• S••••••••• L•• | Jan 6, 2025 | Jul 25, 2023 | -531 | Firm change after gap | Other |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | C••••••••• C•••••• L•• | Jul 3, 2006 | Jan 20, 2017 |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Wirehouse | Mar 26, 2004 | Jul 3, 2006 | no | DENVER, CO|DENVER, CO | Previous registration |
| U•• F•••••••• S••••••• I••• | Wirehouse | Sep 19, 2003 | Apr 2, 2004 | no | DENVER, CO | Previous registration |
| 3,854 |
| Firm change after gap |
| Other |
| U•• F•••••••• S••••••• I••• | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Apr 2, 2004 | Mar 26, 2004 | -7 | Firm change | Wirehouse to wirehouse |