DFX Intelligence
Reading the graph
Reading the graph
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Advisor at I••••••••• W••••• C••••••• 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••••••••• W••••• C••••••• L•• | Independent wealth | May 10, 2023 | n/a | yes | DENVER, CO | Current employment |
| P•••• F•••••••• S••••••••• L•• | Former SEC adviser | Sep 22, 2017 | Dec 14, 2023 | no | ENGLEWOOD, CO | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| P•••• F•••••••• S••••••••• L•• | I••••••••• W••••• C••••••• L•• | Dec 14, 2023 | May 10, 2023 | -218 | Firm change after gap | RIA to RIA |
| B••••••• I••••••••• S•••••••• I••• ••••• | P•••• F•••••••• S••••••••• L•• | Oct 20, 2017 | Sep 22, 2017 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 29357:289033:CO:2017-10-20 | Oct 20, 2017 | Sep 22, 2017 | DENVER, CO | Firm change |
| B••••••• I••••••••• S•••••••• I••• ••••• | Former SEC adviser | Jul 5, 2011 | Oct 20, 2017 | no | DENVER, CO|CENTENNIAL, CO|WHEAT RIDGE, CO|SALIDA, CO|DELTA, CO|GUNNISON, CO|CRESTED BUTTE, CO|MT. CRESTED BUTTE, CO|MONTROSE, CO|EVERGREEN, CO|CONIFER, CO|HIGHLANDS RANCH, CO|EVERGREEN, CO|LITTLETON, CO|LITTLETON, CO|TRINIDAD, CO|DENVER, CO|GREENWOOD VILLAGE, CO|ENGLEWOOD, CO|GRAND JUNCTION, CO|FRUITA, CO|GRAND JUNCTION, CO|CLIFTON, CO|CENTENNIAL, CO|CENTENNIAL, CO|LONE TREE, CO|LITTLETON, CO|CRAIG, CO|FRASER, CO|KREMMLING, CO|COMMERCE CITY, CO|GOLDEN, CO|Denver, CO | Previous registration |
| C•••••• I••••••••• C•••••• I•• | Former SEC adviser | Aug 16, 2010 | May 13, 2014 | no | HOUSTON, TX | Previous registration |
| M••••• K••••• • C••••••• L•• | Former SEC adviser | Feb 22, 2007 | Jun 20, 2007 | no | BIRMINGHAM, AL|NAPLES, FL|MEMPHIS, TN | Previous registration |
| A•••••• I••••••••• M••••••••• C•••••• L•• | n/a | Aug 1, 2003 | Feb 21, 2007 | no | NAPLES, FL | Previous registration |
| A•••••• I••••••••• S•••••••• I••• | n/a | Mar 14, 2003 | Jul 31, 2003 | no | NAPLES, FL|NAPLES, FL | Previous registration |
| -28 |
| Firm change |
| Other |
| C•••••• I••••••••• C•••••• I•• | B••••••• I••••••••• S•••••••• I••• ••••• | May 13, 2014 | Jul 5, 2011 | -1,043 | Firm change after gap | Other |
| M••••• K••••• • C••••••• L•• | C•••••• I••••••••• C•••••• I•• | Jun 20, 2007 | Aug 16, 2010 | 1,153 | Firm change after gap | Other |
| A•••••• I••••••••• M••••••••• C•••••• L•• | M••••• K••••• • C••••••• L•• | Feb 21, 2007 | Feb 22, 2007 | 1 | Bulk transfer | Other |
| A•••••• I••••••••• S•••••••• I••• | A•••••• I••••••••• M••••••••• C•••••• L•• | Jul 31, 2003 | Aug 1, 2003 | 1 | Bulk transfer | Other |