DFX Intelligence
Reading the graph
Reading the graph
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Advisor at K•• I••••••••• S••••••• L••
Westminster, CO | BROOKLYN, OH
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 |
|---|---|---|---|---|---|---|
| K•• I••••••••• S••••••• L•• | Bd affiliated wealth | Nov 4, 2024 | n/a | yes | Westminster, CO|BROOKLYN, OH | Current employment |
| C•••• I••••••••• M••••••••• L•• | Independent wealth | Mar 21, 2022 | Aug 13, 2024 | no | BROOMFIELD, CO|HOUSTON, TX |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| C•••• I••••••••• M••••••••• L•• | K•• I••••••••• S••••••• L•• | Aug 13, 2024 | Nov 4, 2024 | 83 | Firm change | RIA to ibd |
| Z••••• I••••••••• M••••••••• L•• | C•••• I••••••••• M••••••••• L•• | Mar 14, 2022 | Mar 21, 2022 |
| Z••••• I••••••••• M••••••••• L•• | State registered | Mar 13, 2021 | Mar 14, 2022 | no | Arvada, CO | Previous registration |
| T• A••••••••• I••• | Former SEC adviser | Mar 8, 2018 | Feb 9, 2021 | no | Reno, NV|LITTLETON, CO|Denver, CO|Denver, CO | Previous registration |
| T• A••••••••• I••••••••• M••••••••• L•• | Former SEC adviser | Feb 26, 2018 | Feb 9, 2021 | no | OMAHA, NE|Littleton, CO|DENVER, CO|Denver, CO | Previous registration |
| S•••••••• I••••••••• M••••••••• | Former SEC adviser | Nov 30, 2016 | Feb 26, 2018 | no | SAINT LOUIS, MO | Previous registration |
| T• A••••••••• I••••••••• M••••••••• L•• | Former SEC adviser | Dec 11, 2009 | May 5, 2014 | no | CHICAGO, IL|DENVER, CO | Previous registration |
| T• A••••••••• I••• | Former SEC adviser | Dec 11, 2009 | May 5, 2014 | no | Chicago, IL|Denver, CO | Previous registration |
| C•••••• S••••• • C••• I••• | National bd RIA | Dec 13, 2007 | Nov 20, 2009 | no | PHOENIX, AZ|Schaumburg, IL | Previous registration |
| 7 |
| Firm change |
| Other |
| T• A••••••••• I••• | Z••••• I••••••••• M••••••••• L•• | Feb 9, 2021 | Mar 13, 2021 | 32 | Firm change | Other |
| T• A••••••••• I••••••••• M••••••••• L•• | T• A••••••••• I••• | Feb 9, 2021 | Mar 8, 2018 | -1,069 | Bulk transfer | Other |
| S•••••••• I••••••••• M••••••••• | T• A••••••••• I••••••••• M••••••••• L•• | Feb 26, 2018 | Feb 26, 2018 | 0 | Bulk transfer | Ibd to RIA |
| T• A••••••••• I••• | T• A••••••••• I••••••••• M••••••••• L•• | May 5, 2014 | Dec 11, 2009 | -1,606 | Channel change | Other |
| T• A••••••••• I••••••••• M••••••••• L•• | T• A••••••••• I••• | May 5, 2014 | Dec 11, 2009 | -1,606 | Firm change after gap | Other |
| C•••••• S••••• • C••• I••• | T• A••••••••• I••••••••• M••••••••• L•• | Nov 20, 2009 | Dec 11, 2009 | 21 | Firm change | Other |