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 I••••••••• L••
DENVER, 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 |
|---|---|---|---|---|---|---|
| I••••••••• L•• | Independent wealth | Jan 31, 2018 | n/a | yes | DENVER, CO | Current employment |
| G•• C•••••• L•• | Independent wealth | May 28, 2014 | Dec 12, 2017 | no | DENVER, CO | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| G•• C•••••• L•• | I••••••••• L•• | Dec 12, 2017 | Jan 31, 2018 | 50 | Firm change | Other |
| L•• F•••••••• L•• | G•• C•••••• L•• | Jun 20, 2014 | May 28, 2014 |
| Bd affiliated wealth |
| Apr 11, 2014 |
| Jun 20, 2014 |
| no |
| ENGLEWOOD, CO |
| Previous registration |
| S••••• W••••• A•••••••• I••• | No RAUM reported | Jan 3, 2012 | Apr 25, 2014 | no | ENGLEWOOD, CO | Previous registration |
| C•••••• S••••• • C••• I••• | National bd RIA | Oct 9, 2009 | Dec 31, 2011 | no | ENGLEWOOD, CO | Previous registration |
| M•••• C••••••• A••••••• S•••••• | Bd affiliated wealth | Jul 7, 2006 | Sep 14, 2009 | no | PARKERSBURG, WV|PALM BEACH GARDENS, FL|PALM BEACH GARDENS, FL|PARKERSBURG, WV | Previous registration |
| P•••••• F•••••••• P•••••••• L•• | n/a | Apr 11, 2006 | May 31, 2006 | no | ESCONDIDO, CA | Previous registration |
| L•• F•••••••• L•• | Bd affiliated wealth | Apr 12, 2005 | Jun 1, 2005 | no | SANTEE, CA | Previous registration |
| Firm change |
| Other |
| S••••• W••••• A•••••••• I••• | L•• F•••••••• L•• | Apr 25, 2014 | Apr 11, 2014 | -14 | Firm change | Other |
| C•••••• S••••• • C••• I••• | S••••• W••••• A•••••••• I••• | Dec 31, 2011 | Jan 3, 2012 | 3 | Bulk transfer | Other |
| M•••• C••••••• A••••••• S•••••• | C•••••• S••••• • C••• I••• | Sep 14, 2009 | Oct 9, 2009 | 25 | Firm change | Other |
| P•••••• F•••••••• P•••••••• L•• | M•••• C••••••• A••••••• S•••••• | May 31, 2006 | Jul 7, 2006 | 37 | Firm change | Other |
| L•• F•••••••• L•• | P•••••• F•••••••• P•••••••• L•• | Jun 1, 2005 | Apr 11, 2006 | 314 | Firm change | Other |