DFX Intelligence
Reading the graph
Reading the graph
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Advisor at C••• C••••••• L••
Denver, CO | CHICAGO, IL
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••• C••••••• L•• | Independent wealth | Jun 27, 2024 | n/a | yes | CHICAGO, IL|Denver, CO | Current employment |
| A• • I• W••••• M••••••••• | Independent wealth | Sep 9, 2021 | Jun 12, 2024 | no | LONE TREE, CO | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| A• • I• W••••• M••••••••• | C••• C••••••• L•• | Jun 12, 2024 | Jun 27, 2024 | 15 | Firm change | RIA to RIA |
| F••••••• P••••••• A•• W•••••••• A••••••• | A• • I• W••••• M••••••••• | Jul 16, 2021 | Sep 9, 2021 |
| F••••••• P••••••• A•• W•••••••• A••••••• | Former SEC adviser | Jul 13, 2018 | Jul 16, 2021 | no | BOSTON, MA | Previous registration |
| S•••••••• A••••••• L•• | National bd RIA | Jul 7, 2015 | Jul 13, 2018 | no | DURHAM, NC | Previous registration |
| 55 |
| Firm change |
| Ibd to RIA |
| S•••••••• A••••••• L•• | F••••••• P••••••• A•• W•••••••• A••••••• | Jul 13, 2018 | Jul 13, 2018 | 0 | Bulk transfer | Ibd to new firm |