DFX Intelligence
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Reading the graph
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Advisor at C••••• I••••••••• A••••••• L••
GREENWOOD VILLAGE, CO | 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 |
|---|---|---|---|---|---|---|
| C••••• I••••••••• A••••••• L•• | Bd affiliated wealth | Jun 29, 2023 | n/a | yes | GREENWOOD VILLAGE, CO|Highlands Ranch, CO | Current employment |
| F•••• F•••••••• E••••• C••••••••• | Former SEC adviser | Jan 4, 2017 | Apr 20, 2022 | no | GREENWOOD VILLAGE, CO|SCOTTSDALE, AZ |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| F•••• F•••••••• E••••• C••••••••• | C••••• I••••••••• A••••••• L•• | Apr 20, 2022 | Jun 29, 2023 | 435 | Bulk transfer | Ibd to ibd |
| P•••• S•••••• • C•• | F•••• F•••••••• E••••• C••••••••• | Aug 17, 2006 | Jan 4, 2017 |
| P•••• S•••••• • C•• | Institutional manager | Jul 21, 2005 | Aug 17, 2006 | no | DENVER, CO|MINNEAPOLIS, MN|DENVER, CO | Previous registration |
| U•• F•••••••• S••••••• I••• | Wirehouse | May 17, 2005 | Jul 7, 2005 | no | DENVER, CO | Previous registration |
| S••••••• G•••• C•••••• | n/a | Mar 4, 1999 | May 19, 2005 | no | DENVER, CO | Previous registration |
| 3,793 |
| Firm change after gap |
| Other |
| U•• F•••••••• S••••••• I••• | P•••• S•••••• • C•• | Jul 7, 2005 | Jul 21, 2005 | 14 | Firm change | Wirehouse to new firm |
| S••••••• G•••• C•••••• | U•• F•••••••• S••••••• I••• | May 19, 2005 | May 17, 2005 | -2 | Firm change | Other |