DFX Intelligence
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Reading the graph
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Advisor at L•••
LOS ANGELES, CA | LOUISVILLE, 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 |
|---|---|---|---|---|---|---|
| L••• | Independent wealth | Dec 12, 2024 | n/a | yes | LOUISVILLE, CO|LOS ANGELES, CA | Current employment |
| P••••• R•••• W••••• A•••••••• L•• | Former SEC adviser | Jul 8, 2019 | Feb 6, 2025 | no | LOUISVILLE, CO | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| P••••• R•••• W••••• A•••••••• L•• | L••• | Feb 6, 2025 | Dec 12, 2024 | -56 | Firm change after gap | RIA to RIA |
| W•••• F•••• A••••••• | P••••• R•••• W••••• A•••••••• L•• | Jul 10, 2019 | Jul 8, 2019 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 304224:269866:CO:2025-02-06 | Feb 6, 2025 | Dec 12, 2024 | LOUISVILLE, CO | Firm change after gap |
| 19616:304224:CO:2019-07-10 | Jul 10, 2019 | Jul 8, 2019 | BOULDER, CO | Firm change |
| W•••• F•••• A••••••• | Wirehouse | Jul 8, 2014 | Jul 10, 2019 | no | DENVER, CO|BOULDER, CO | Previous registration |
| A••••••••• F•••••••• S•••••••• L•• | National bd RIA | Oct 13, 2011 | Apr 26, 2013 | no | BROOMFIELD, CO | Previous registration |
| W•••• F•••• A••••••• | Wirehouse | Jan 3, 2011 | Feb 23, 2011 | no | BOULDER, CO | Previous registration |
| W•••• F•••• I••••••••• L•• | n/a | Jan 30, 2006 | Jan 3, 2011 | no | BOULDER, CO|FAIRFIELD, CA | Previous registration |
| M••••• S•••••• D• I••• | n/a | Nov 9, 2005 | Jan 18, 2006 | no | NAPA, CA | Previous registration |
| -2 |
| Firm change |
| Wirehouse to new firm |
| A••••••••• F•••••••• S•••••••• L•• | W•••• F•••• A••••••• | Apr 26, 2013 | Jul 8, 2014 | 438 | Firm change after gap | Ibd to wirehouse |
| W•••• F•••• A••••••• | A••••••••• F•••••••• S•••••••• L•• | Feb 23, 2011 | Oct 13, 2011 | 232 | Firm change | Wirehouse to ibd |
| W•••• F•••• I••••••••• L•• | W•••• F•••• A••••••• | Jan 3, 2011 | Jan 3, 2011 | 0 | Bulk transfer | Other |
| M••••• S•••••• D• I••• | W•••• F•••• I••••••••• L•• | Jan 18, 2006 | Jan 30, 2006 | 12 | Firm change | Other |