DFX Intelligence
Reading the graph
Reading the graph
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Advisor at C••••••• P•••••••• A••••••• L••
••• Locked
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••••••• P•••••••• A••••••• L•• | Bank affiliated wealth | Oct 14, 2025 | n/a | yes | COLTS NECK, NJ|SALT LAKE CITY, UT | Current employment |
| C••••••• G••••• L•• | Other adviser | Apr 3, 2023 | Oct 14, 2025 | no | Coltsneck, NJ|SALT LAKE CITY, UT |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| C••••••• G••••• L•• | C••••••• P•••••••• A••••••• L•• | Oct 14, 2025 | Oct 14, 2025 | 0 | Firm change | Other |
| S•• W••••• | C••••••• G••••• L•• | Oct 6, 2021 | Apr 3, 2023 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 281399:337747:UT:2025-10-07 | Oct 14, 2025 | Oct 14, 2025 | SALT LAKE CITY, UT | Firm change |
| 133319:172832:NY:2019-09-18 | Sep 18, 2019 | Sep 23, 2019 | NEW YORK, NY | Firm change |
| S•• W••••• | Independent wealth | Sep 23, 2019 | Oct 6, 2021 | no | BEVERLY HILLS, CA|NEW YORK, NY | Previous registration |
| K•• P••••••••• A••••••• G••••• L•• | Former SEC adviser | May 8, 2015 | Sep 18, 2019 | no | NEW YORK, NY | Previous registration |
| Firm change after gap |
| Other |
| K•• P••••••••• A••••••• G••••• L•• | S•• W••••• | Sep 18, 2019 | Sep 23, 2019 | 5 | Firm change | RIA to RIA |