DFX Intelligence
Reading the graph
Reading the graph
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Advisor at D••••• P••• L••
CENTENNIAL, CO | D•••••, 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 |
|---|---|---|---|---|---|---|
| D••••• P••• L•• | Independent wealth | Sep 12, 2023 | n/a | yes | CENTENNIAL, CO|D•••••, CO | Current employment |
| S•••••••• F•••••••• A••••••• L•• | Former SEC adviser | Sep 17, 2009 | Sep 22, 2023 | no | NEW YORK, NY|Centennial, CO |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| S•••••••• F•••••••• A••••••• L•• | D••••• P••• L•• | Sep 22, 2023 | Sep 12, 2023 | -10 | Firm change | Other |
| C••••• A••••••• L•• | S•••••••• F•••••••• A••••••• L•• | Sep 18, 2009 | Sep 17, 2009 |
| C••••• A••••••• L•• | Former SEC adviser | Jan 1, 2004 | Sep 18, 2009 | no | D•••••, CO|D•••••, CO | Previous registration |
| A••••••• Z••• I••••••••• C•••••• | n/a | Sep 12, 2002 | Jun 27, 2008 | no | D•••••, CO | Previous registration |
| I•• A••••••• S••••••• I•• | n/a | Apr 26, 2001 | Jan 1, 2004 | no | D•••••, CO | Previous registration |
| -1 |
| Firm change |
| Other |
| A••••••• Z••• I••••••••• C•••••• | C••••• A••••••• L•• | Jun 27, 2008 | Jan 1, 2004 | -1,639 | Firm change after gap | Other |
| I•• A••••••• S••••••• I•• | A••••••• Z••• I••••••••• C•••••• | Jan 1, 2004 | Sep 12, 2002 | -476 | Firm change after gap | Other |