DFX Intelligence
Reading the graph
Reading the graph
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Advisor at L•• F•••••••• L••
ST. GEORGE, UT
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 |
|---|---|---|---|---|---|---|
| L•• F•••••••• L•• | Bd affiliated wealth | Apr 7, 2026 | n/a | yes | ST. GEORGE, UT | Current employment |
| E•••••• A••••••• G••••• L•• | Bd affiliated wealth | Dec 13, 2024 | Apr 6, 2026 | no | GREENWOOD VILLAGE, CO|EAGLE MOUNTAIN, UT |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| E•••••• A••••••• G••••• L•• | L•• F•••••••• L•• | Apr 6, 2026 | Apr 7, 2026 | 1 | Firm change | Ibd to ibd |
| M••••• S•••••• | E•••••• A••••••• G••••• L•• | Nov 22, 2024 | Dec 13, 2024 |
| M••••• S•••••• | Wirehouse | Mar 16, 2023 | Nov 22, 2024 | no | Sandy, UT | Previous registration |
| E•••••• C•••••• M••••••••• L•• | Former SEC adviser | May 5, 2016 | Sep 5, 2023 | no | Sandy, UT|ARLINGTON, VA | Previous registration |
| V•••• F•••••••• A•••••••• I••• | Bd affiliated wealth | Sep 14, 2015 | Feb 3, 2016 | no | LINTHICUM HEIGHTS, MD | Previous registration |
| T••••••••• R••••••••• A•••••••• L•• | Bd affiliated wealth | May 13, 2014 | Aug 12, 2015 | no | NORTH SALT LAKE, UT | Previous registration |
| C•••••• S••••• • C••• I••• | National bd RIA | Aug 28, 2008 | Nov 19, 2008 | no | Tulsa, OK | Previous registration |
| S•••••••• A••••••• L•• | National bd RIA | May 26, 1998 | Aug 18, 2005 | no | WOODLAND HILLS, CA | Previous registration |
| Firm change |
| Wirehouse to ibd |
| E•••••• C•••••• M••••••••• L•• | M••••• S•••••• | Sep 5, 2023 | Mar 16, 2023 | -173 | Bulk transfer | RIA to wirehouse |
| V•••• F•••••••• A•••••••• I••• | E•••••• C•••••• M••••••••• L•• | Feb 3, 2016 | May 5, 2016 | 92 | Firm change | Other |
| T••••••••• R••••••••• A•••••••• L•• | V•••• F•••••••• A•••••••• I••• | Aug 12, 2015 | Sep 14, 2015 | 33 | Firm change | Other |
| C•••••• S••••• • C••• I••• | T••••••••• R••••••••• A•••••••• L•• | Nov 19, 2008 | May 13, 2014 | 2,001 | Firm change after gap | Other |
| S•••••••• A••••••• L•• | C•••••• S••••• • C••• I••• | Aug 18, 2005 | Aug 28, 2008 | 1,106 | Firm change after gap | Ibd to ibd |