DFX Intelligence
Reading the graph
Reading the graph
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Advisor at S••••• W••••• A•••••••• I•••
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 |
|---|---|---|---|---|---|---|
| S••••• W••••• A•••••••• I••• | No RAUM reported | Apr 10, 2025 | n/a | yes | Lone Tree, CO | Current employment |
| C•••••• S••••• • C••• I••• | National bd RIA | Apr 13, 2015 | Apr 2, 2019 | no | ENGLEWOOD, CO|Lone Tree, CO |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| C•••••• S••••• • C••• I••• | S••••• W••••• A•••••••• I••• | Apr 2, 2019 | Apr 10, 2025 | 2,200 | Channel change | Other |
| V••• F•••••••• P•••••••• L•• | C•••••• S••••• • C••• I••• | Sep 28, 2005 | Apr 13, 2015 |
| V••• F•••••••• P•••••••• L•• | Former SEC adviser | Nov 17, 2004 | Sep 28, 2005 | no | DES MOINES, IA | Previous registration |
| W•••••• • R••• | Former SEC adviser | Dec 10, 2003 | Jul 1, 2004 | no | SPRINGFIELD, MO | Previous registration |
| 3,484 |
| Firm change after gap |
| Other |
| W•••••• • R••• | V••• F•••••••• P•••••••• L•• | Jul 1, 2004 | Nov 17, 2004 | 139 | Firm change | Other |