DFX Intelligence

E•••• R•• S•••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)27 years in industry

E•••• R•• S•••

Advisor at C•••••• S••••• • C••• I•••

Farmington, UT

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 6:16 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 1
On other graphs: 0
Observed: Dec 9, 1998 to Sep 14, 2026

Across DFX

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.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: C•••••• S••••• • C••• I•••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Sep 24, 1998earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 7

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••• S••••• • C••• I•••	National bd RIA	Jul 5, 2022	n/a	yes	Farmington, UT	Current employment
O•••• W•••••• I•••	Bd affiliated wealth	May 14, 2019	Jul 5, 2022	no	SOUTH JORDAN, UT	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
O•••• W•••••• I•••	C•••••• S••••• • C••• I•••	Jul 5, 2022	Jul 5, 2022	0	Firm change	Ibd to ibd
C••• L••	O•••• W•••••• I•••	May 15, 2019	May 14, 2019

Team moves

••• Locked

Team	Left	Joined	From	Kind
131000:20804:UT:2015-04-10	Apr 10, 2015	Apr 14, 2015	FARMINGTON, UT	Firm change

Relationships

Registered with (8)

→ C•••••• S••••• • C••• I•••Registered adviserregistration: current employment
Jul 5, 2022 to presentfactForm ADV
→ O•••• W•••••• I•••Registered adviserregistration: previous registration
May 14, 2019 to Jul 5, 2022factForm ADV
→ C••• L••Registered adviserregistration: previous registration
Nov 21, 2017 to May 15, 2019factForm ADV
→ U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••

Dated events

Order

Occurred
5 Jul 2022
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Dec 9, 1998
Last observed: Sep 14, 2026 9 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.