DFX Intelligence
Reading the graph
Reading the graph
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Advisor at T••• I••••••••• A•••••••• L••
LAGUNA NIGUEL, CA | Basalt, 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 |
|---|---|---|---|---|---|---|
| T••• I••••••••• A•••••••• L•• | Independent wealth | Jan 3, 2020 | n/a | yes | Basalt, CO|LAGUNA NIGUEL, CA | Current employment |
| F•••• F•••••••• E••••• C••••••••• | Former SEC adviser | Apr 13, 2015 | Jan 3, 2020 | no | BASALT, CO|GREENWOOD VILLAGE, CO|Snowmass Village, CO |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| F•••• F•••••••• E••••• C••••••••• | T••• I••••••••• A•••••••• L•• | Jan 3, 2020 | Jan 3, 2020 | 0 | Firm change | Ibd to RIA |
| A••••••••• F•••••••• S•••••••• L•• | F•••• F•••••••• E••••• C••••••••• | Apr 16, 2015 | Apr 13, 2015 |
| A••••••••• F•••••••• S•••••••• L•• | National bd RIA | Jan 30, 2009 | Apr 16, 2015 | no | DENVER, CO|BASALT, CO | Previous registration |
| R•• C•••••• M••••••• L•• | National bd RIA | Sep 2, 2005 | Feb 12, 2009 | no | ASPEN, CO|DENVER, CO|ASPEN, CO|GREENWOOD VILLAGE, CO|ASPEN, CO | Previous registration |
| M••••• S•••••• D• I••• | n/a | Jan 1, 1999 | Sep 8, 2005 | no | CENTENNIAL, CO | Previous registration |
| -3 |
| Firm change |
| Other |
| R•• C•••••• M••••••• L•• | A••••••••• F•••••••• S•••••••• L•• | Feb 12, 2009 | Jan 30, 2009 | -13 | Firm change | Ibd to ibd |
| M••••• S•••••• D• I••• | R•• C•••••• M••••••• L•• | Sep 8, 2005 | Sep 2, 2005 | -6 | Firm change | Other |