DFX Intelligence
Reading the graph
Reading the graph
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Advisor at C•••••••• I••••••••• R••••••• A•••••••• I•••
Roaring River, NC
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••••••••• R••••••• A•••••••• I••• | Bd affiliated wealth | Dec 13, 2024 | n/a | yes | Roaring River, NC | Current employment |
| L•• F•••••••• L•• | Bd affiliated wealth | Apr 17, 2024 | Dec 17, 2024 | no | ROARING RIVER, NC |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| L•• F•••••••• L•• | C•••••••• I••••••••• R••••••• A•••••••• I••• | Dec 17, 2024 | Dec 13, 2024 | -4 | Firm change | Ibd to ibd |
| C•••• C•••••• S••••••••• L••• | L•• F•••••••• L•• | Apr 17, 2024 | Apr 17, 2024 |
| C•••• C•••••• S••••••••• L••• | Former SEC adviser | Jan 4, 2016 | Apr 17, 2024 | no | Littleton, CO|COLORADO SPRINGS, CO|Roaring River, NC|Roaring River, NC | Previous registration |
| S••••••••• A•••••• A•••••••• I••• | Former SEC adviser | Nov 14, 2014 | Dec 31, 2015 | no | LITTLETON, CO | Previous registration |
| S••••• F•••••••• S•••••••• I••• | Former SEC adviser | Aug 14, 2007 | Nov 14, 2014 | no | LITTLETON, CO|GREENWOOD VILLAGE, CO|KANSAS CITY, MO | Previous registration |
| A••••••• P••••••••• A•••••••• I•• | Former SEC adviser | Jun 13, 2007 | Jul 31, 2007 | no | HOLBROOK, NY | Previous registration |
| U••••• S••••••••• A•••••••• I••• | n/a | Apr 3, 2003 | Feb 28, 2007 | no | LITTLETON, CO|LITTLETON, CO | Previous registration |
| F•• A••••••• S••••••• I•• | n/a | Jan 1, 1999 | Apr 17, 2003 | no | GOLDEN, CO | Previous registration |
| 0 |
| Firm change |
| Ibd to ibd |
| S••••••••• A•••••• A•••••••• I••• | C•••• C•••••• S••••••••• L••• | Dec 31, 2015 | Jan 4, 2016 | 4 | Firm change | Other |
| S••••• F•••••••• S•••••••• I••• | S••••••••• A•••••• A•••••••• I••• | Nov 14, 2014 | Nov 14, 2014 | 0 | Bulk transfer | Other |
| A••••••• P••••••••• A•••••••• I•• | S••••• F•••••••• S•••••••• I••• | Jul 31, 2007 | Aug 14, 2007 | 14 | Firm change | Other |
| U••••• S••••••••• A•••••••• I••• | A••••••• P••••••••• A•••••••• I•• | Feb 28, 2007 | Jun 13, 2007 | 105 | Firm change | Other |
| F•• A••••••• S••••••• I•• | U••••• S••••••••• A•••••••• I••• | Apr 17, 2003 | Apr 3, 2003 | -14 | Firm change | Other |