DFX Intelligence
Reading the graph
Reading the graph
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Advisor at R••••• C•••••• S•••••••••
Erie, PA | ENGLEWOOD, 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 |
|---|---|---|---|---|---|---|
| R••••• C•••••• S••••••••• | Independent wealth | Jun 9, 2025 | n/a | yes | Erie, PA|ENGLEWOOD, CO | Current employment |
| R••••••• | Former SEC adviser | Sep 14, 2020 | Jun 12, 2025 | no | EVERGREEN, CO | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| R••••••• | R••••• C•••••• S••••••••• | Jun 12, 2025 | Jun 9, 2025 | -3 | Firm change | RIA to new firm |
| T• A••••••••• I••••••••• M••••••••• L•• | T• A••••••••• I••• | Apr 28, 2020 | Feb 27, 2018 |
| T• A••••••••• I••• |
| Former SEC adviser |
| Feb 27, 2018 |
| Apr 28, 2020 |
| no |
| ERIE, PA |
| Previous registration |
| T• A••••••••• I••••••••• M••••••••• L•• | Former SEC adviser | Feb 26, 2018 | Apr 28, 2020 | no | OMAHA, NE|Erie, PA | Previous registration |
| S•••••••• I••••••••• M••••••••• | Former SEC adviser | Sep 26, 2016 | Feb 26, 2018 | no | SAINT LOUIS, MO | Previous registration |
| -791 |
| Bulk transfer |
| Other |
| T• A••••••••• I••• | R••••••• | Apr 28, 2020 | Sep 14, 2020 | 139 | Firm change | Other |
| S•••••••• I••••••••• M••••••••• | T• A••••••••• I••••••••• M••••••••• L•• | Feb 26, 2018 | Feb 26, 2018 | 0 | Bulk transfer | Ibd to RIA |