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Advisor at EXPONENT WEALTH
OREM, 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 |
|---|---|---|---|---|---|---|
| EXPONENT WEALTH | Former SEC adviser | Mar 27, 2025 | n/a | yes | OREM, UT|OREM, UT | Current employment |
| DRIVE WEALTH ADVISERS | Independent wealth | Mar 8, 2021 | Mar 28, 2025 | no | LEHI, UT | Previous registration |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Wirehouse | Feb 6, 2019 | Mar 8, 2021 | no | PROVO, UT | Previous registration |
| EPIQ CAPITAL GROUP, LLC | Former SEC adviser | Dec 20, 2018 | Jan 14, 2019 | no | SAN FRANCISCO, CA | Previous registration |
| ICONIQ CAPITAL, LLC | Asset manager | Nov 16, 2017 | May 2, 2018 | no | SAN FRANCISCO, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| DRIVE WEALTH ADVISERS | EXPONENT WEALTH | Mar 28, 2025 | Mar 27, 2025 | -1 | Firm change | RIA to new firm |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | DRIVE WEALTH ADVISERS | Mar 8, 2021 | Mar 8, 2021 | 0 | Firm change | Wirehouse to RIA |
| EPIQ CAPITAL GROUP, LLC | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Jan 14, 2019 | Feb 6, 2019 | 23 | Firm change | RIA to wirehouse |
| ICONIQ CAPITAL, LLC | EPIQ CAPITAL GROUP, LLC | May 2, 2018 | Dec 20, 2018 | 232 | Firm change | RIA to RIA |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 174728:334968:UT:2025-03-28 | Mar 28, 2025 | Mar 27, 2025 | LEHI, UT | Firm change |
| 159198:292526:CA:2018-05-02 | May 2, 2018 | Dec 20, 2018 | SAN FRANCISCO, CA | Firm change |