DFX Intelligence
Reading the graph
Reading the graph
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Advisor at U•• F•••••••• S••••••• I•••
DENVER, CO | Scottsdale, AZ
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 |
|---|---|---|---|---|---|---|
| U•• F•••••••• S••••••• I••• | Wirehouse | Nov 17, 2025 | n/a | yes | Scottsdale, AZ|DENVER, CO | Current employment |
| U•• F•••••••• S••••••• I••• | Wirehouse | Aug 18, 2025 | Aug 28, 2025 | no | DENVER, CO | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| M•••••• | U•• F•••••••• S••••••• I••• | Nov 17, 2025 | Aug 18, 2025 | -91 | Firm change after gap | Ibd to wirehouse |
| C••••• A•••••• N••••••• L•• | V•••••• F•••••••• G••••• I••• | May 4, 2021 | Aug 27, 2014 |
| M•••••• | Bd affiliated wealth | Apr 30, 2021 | Nov 17, 2025 | no | S••••SDALE, AZ | Previous registration |
| V•••••• F•••••••• G••••• I••• | Independent wealth | Aug 27, 2014 | Dec 31, 2016 | no | ENGLEWOOD, CO|CLEVELAND, OH | Previous registration |
| C••••• A•••••• N••••••• L•• | Former SEC adviser | Sep 3, 2013 | May 4, 2021 | no | ENGLEWOOD, CO|COLORADO SPRINGS, CO|BOULDER, CO | Previous registration |
| W••••• S••••• S••••••••• I••• | Former SEC adviser | Dec 12, 2005 | Sep 3, 2013 | no | AVON, CO|ENGLEWOOD, CO | Previous registration |
| S•••• H• G•••• C•• | n/a | Mar 15, 2005 | May 22, 2007 | no | ENGELWOOD, CO | Previous registration |
| W••••• S••••• A••••••• I•• | n/a | Jan 1, 1999 | Nov 2, 2006 | no | ENGLEWOOD, CO | Previous registration |
| -2,442 |
| Firm change after gap |
| Other |
| V•••••• F•••••••• G••••• I••• | M•••••• | Dec 31, 2016 | Apr 30, 2021 | 1,581 | Firm change after gap | Other |
| W••••• S••••• S••••••••• I••• | C••••• A•••••• N••••••• L•• | Sep 3, 2013 | Sep 3, 2013 | 0 | Firm change | Other |
| S•••• H• G•••• C•• | W••••• S••••• S••••••••• I••• | May 22, 2007 | Dec 12, 2005 | -526 | Firm change after gap | Other |
| W••••• S••••• A••••••• I•• | S•••• H• G•••• C•• | Nov 2, 2006 | Mar 15, 2005 | -597 | Firm change after gap | Other |