DFX Intelligence
Reading the graph
Reading the graph
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Advisor at C•••••• S••••• • C••• I•••
Austin, TX | Lone Tree, 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•••••• S••••• • C••• I••• | National bd RIA | Mar 27, 2018 | n/a | yes | Lone Tree, CO|Austin, TX | Current employment |
| C••••••••• W••••• A•••••••• L•• | Bd affiliated wealth | Jan 8, 2016 | Dec 5, 2017 | no | Denver, CO|MINNEAPOLIS, MN|MINNEAPOLIS, MN |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| C••••••••• W••••• A•••••••• L•• | C•••••• S••••• • C••• I••• | Dec 5, 2017 | Mar 27, 2018 | 112 | Firm change | Other |
| N•••••• G•••• S••••••••• I••• | C••••••••• W••••• A•••••••• L•• | Jan 26, 2016 | Jan 8, 2016 |
| N•••••• G•••• S••••••••• I••• | Former SEC adviser | Jan 13, 2011 | Jan 26, 2016 | no | Lake Mary, FL|LAKE MARY, FL|LAKE MARY, FL|ENGLEWOOD, CO | Previous registration |
| F•••••••• T••••••• I••• | Former SEC adviser | Nov 16, 2007 | Jul 9, 2010 | no | DENVER, CO|DENVER, CO|SAN RAFAEL, CA|SAN RAFAEL, CA | Previous registration |
| C••••• A••••••• L•• | Former SEC adviser | Feb 13, 2007 | Dec 5, 2007 | no | DENVER, CO|DENVER, CO | Previous registration |
| -18 |
| Firm change |
| Other |
| F•••••••• T••••••• I••• | N•••••• G•••• S••••••••• I••• | Jul 9, 2010 | Jan 13, 2011 | 188 | Firm change | Other |
| C••••• A••••••• L•• | F•••••••• T••••••• I••• | Dec 5, 2007 | Nov 16, 2007 | -19 | Firm change | Other |