DFX Intelligence
Reading the graph
Reading the graph
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Advisor at O•••• A••••••• S•••••••• L••
ATLANTA, GA | Highlands Ranch, 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 |
|---|---|---|---|---|---|---|
| O•••• A••••••• S•••••••• L•• | Bd affiliated wealth | Feb 26, 2024 | n/a | yes | Highlands Ranch, CO|ATLANTA, GA | Current employment |
| B• R•••• W••••• A•••••••• I••• | Bd affiliated wealth | Dec 4, 2020 | Feb 28, 2024 | no | Highlands Ranch, CO |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| B• R•••• W••••• A•••••••• I••• | O•••• A••••••• S•••••••• L•• | Feb 28, 2024 | Feb 26, 2024 | -2 | Firm change | Ibd to ibd |
| R••••••••• A••••••• L•• | B• R•••• W••••• A•••••••• I••• | Dec 4, 2020 | Dec 4, 2020 |
| R••••••••• A••••••• L•• | Independent wealth | Apr 12, 2016 | Dec 4, 2020 | no | DENVER, CO | Previous registration |
| C•• F•••••••• G••••• I••• | Former SEC adviser | Jan 27, 2012 | Apr 12, 2016 | no | SCOTTSDALE, AZ | Previous registration |
| N•• E•••••• S••••••••• C••••••••• | Former SEC adviser | Aug 17, 2010 | Jan 31, 2012 | no | PHOENIX, AZ|ALBUQUERQUE, NM | Previous registration |
| B••••••• I••••••••• S•••••••• I••• ••••• | Former SEC adviser | Oct 22, 2009 | Jul 20, 2010 | no | RIO RANCHO, NM|ALBUQUERQUE, NM|ALBUQUERQUE, NM|LOS LUNAS, NM|LOS LUNAS, NM|ALBUQUERQUE, NM|ALBUQUERQUE, NM|ALBUQUERQUE, NM|ALBUQUERQUE, NM | Previous registration |
| C•• F•••••••• G••••• I••• | Former SEC adviser | Jun 24, 2008 | Sep 30, 2009 | no | ALBUQUERQUE, NM|PHOENIX, AZ | Previous registration |
| C•• W••••• A••••••• L•• | n/a | Feb 23, 2006 | Jun 13, 2008 | no | ALBUQUERQUE, NM | Previous registration |
| C•••••••• G••••• M•••••• I••• | Bd affiliated wealth | Jul 23, 2004 | Apr 4, 2005 | no | SANTA FE, NM | Previous registration |
| 0 |
| Firm change |
| RIA to ibd |
| C•• F•••••••• G••••• I••• | R••••••••• A••••••• L•• | Apr 12, 2016 | Apr 12, 2016 | 0 | Firm change | Other |
| N•• E•••••• S••••••••• C••••••••• | C•• F•••••••• G••••• I••• | Jan 31, 2012 | Jan 27, 2012 | -4 | Firm change | Other |
| B••••••• I••••••••• S•••••••• I••• ••••• | N•• E•••••• S••••••••• C••••••••• | Jul 20, 2010 | Aug 17, 2010 | 28 | Firm change | Other |
| C•• F•••••••• G••••• I••• | B••••••• I••••••••• S•••••••• I••• ••••• | Sep 30, 2009 | Oct 22, 2009 | 22 | Firm change | Other |
| C•• W••••• A••••••• L•• | C•• F•••••••• G••••• I••• | Jun 13, 2008 | Jun 24, 2008 | 11 | Firm change | Other |
| C•••••••• G••••• M•••••• I••• | C•• W••••• A••••••• L•• | Apr 4, 2005 | Feb 23, 2006 | 325 | Firm change | Other |