DFX Intelligence
Reading the graph
Reading the graph
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Advisor at B•••••••• F•••••••• A•••••••
CHARLOTTE, NC | 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 |
|---|---|---|---|---|---|---|
| B•••••••• F•••••••• A••••••• | Independent wealth | May 4, 2026 | n/a | yes | Greenwood Village, CO|CHARLOTTE, NC | Current employment |
| D•••••• W••••• M••••••••• L•• | Former SEC adviser | Sep 8, 2017 | Jun 15, 2026 | no | GREENWOOD VILLAGE, CO|ALPINE, UT|DENVER, CO |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| D•••••• W••••• M••••••••• L•• | B•••••••• F•••••••• A••••••• | Jun 15, 2026 | May 4, 2026 | -42 | Firm change after gap | RIA to RIA |
| N••••••••• I••••••••• P••••••• L•• | D•••••• W••••• M••••••••• L•• | Oct 12, 2017 | Sep 8, 2017 |
| N••••••••• I••••••••• P••••••• L•• | n/a | May 10, 2016 | Oct 12, 2017 | no | GREENWOOD VILLAGE, CO | Previous registration |
| E••••• W••••• A••••••• L•• | n/a | Oct 22, 2015 | Nov 15, 2016 | no | GREENWOOD VILLAGE, CO | Previous registration |
| S•••••••• A••••••• L•• | National bd RIA | Sep 22, 2000 | Apr 29, 2015 | no | LONE TREE, CO|SACRAMENTO, CA | Previous registration |
| -34 |
| Firm change after gap |
| Other |
| E••••• W••••• A••••••• L•• | N••••••••• I••••••••• P••••••• L•• | Nov 15, 2016 | May 10, 2016 | -189 | Firm change after gap | Other |
| S•••••••• A••••••• L•• | E••••• W••••• A••••••• L•• | Apr 29, 2015 | Oct 22, 2015 | 176 | Firm change | Other |