DFX Intelligence
Reading the graph
Reading the graph
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Advisor at A••••••• P•••••••• L••
ROCKVILLE, MD | GREENWOOD VILLAGE, 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 |
|---|---|---|---|---|---|---|
| T••••• F••••••••• L•• | Independent wealth | Sep 4, 2025 | n/a | yes | GREENWOOD VILLAGE, CO|GREENWOOD VILLAGE, CO | Current employment |
| A••••••• P•••••••• L•• | Asset manager | Nov 1, 2024 | n/a | yes | ROCKVILLE, MD | Current employment |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| A••• C•••••• P•••••••• L•• | S•••••••• P•••••• E••••• M••••••••• L•• | Oct 1, 2025 | Jan 24, 2023 | -981 | Firm change after gap | Other |
| S•••••••• P•••••• E••••• M••••••••• L•• | A••••••• P•••••••• L•• | Dec 31, 2024 | Nov 1, 2024 |
| S•••••••• P•••••• E••••• M••••••••• L•• |
| Former SEC adviser |
| Jan 24, 2023 |
| Dec 31, 2024 |
| no |
| Highlands Ranch, CO |
| Previous registration |
| A••• C•••••• P•••••••• L•• | Former SEC adviser | Jun 23, 2020 | Oct 1, 2025 | no | ENGLEWOOD, CO | Previous registration |
| F••• P•••• C•••••• P••••••• L•• | Independent wealth | May 12, 2017 | Jul 9, 2020 | no | HIGHLANDS RANCH, CO|SAN FRANCISCO, CA | Previous registration |
| S•••••••• W••••• M••••••••• I•• | n/a | Feb 9, 2007 | Nov 15, 2010 | no | MEMPHIS, TN | Previous registration |
| O•••• C•••••• A•••••••• L•• | n/a | Sep 3, 2004 | Dec 31, 2005 | no | HIGHLANDS RANCH, CO | Previous registration |
| S•••••••• P•••••• E••••• M••••••••• L•• | Former SEC adviser | Aug 6, 2004 | Dec 31, 2022 | no | HIGHLANDS RANCH, CO | Previous registration |
| -60 |
| Firm change after gap |
| Other |
| S•••••••• P•••••• E••••• M••••••••• L•• | O•••• C•••••• A•••••••• L•• | Dec 31, 2022 | Sep 3, 2004 | -6,693 | Firm change after gap | Other |
| F••• P•••• C•••••• P••••••• L•• | A••• C•••••• P•••••••• L•• | Jul 9, 2020 | Jun 23, 2020 | -16 | Firm change | RIA to RIA |
| S•••••••• W••••• M••••••••• I•• | F••• P•••• C•••••• P••••••• L•• | Nov 15, 2010 | May 12, 2017 | 2,370 | Firm change after gap | Other |
| O•••• C•••••• A•••••••• L•• | S•••••••• W••••• M••••••••• I•• | Dec 31, 2005 | Feb 9, 2007 | 405 | Firm change after gap | Other |