DFX Intelligence
Reading the graph
Reading the graph
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Advisor at S•••••••• A••••••• L••
SALT LAKE CITY, UT | MURRAY, 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 |
|---|---|---|---|---|---|---|
| S•••••••• A••••••• L•• | National bd RIA | Mar 31, 2025 | n/a | yes | SALT LAKE CITY, UT|MURRAY, UT | Current employment |
| F••••••• P••••••• A•• W•••••••• A••••••• | Former SEC adviser | Jul 13, 2018 | Mar 31, 2025 | no | BOSTON, MA|SALT LAKE CITY, UT|MURRAY, UT |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| F••••••• P••••••• A•• W•••••••• A••••••• | S•••••••• A••••••• L•• | Mar 31, 2025 | Mar 31, 2025 | 0 | Bulk transfer | Ibd to ibd |
| S•••••••• A••••••• L•• | F••••••• P••••••• A•• W•••••••• A••••••• | Jul 13, 2018 | Jul 13, 2018 |
| S•••••••• A••••••• L•• | National bd RIA | Jan 10, 2017 | Jul 13, 2018 | no | SALT LAKE CITY, UT | Previous registration |
| A••••• A•• P••••••• S••••••• | Bd affiliated wealth | Sep 9, 2014 | Sep 23, 2016 | no | SALT LAKE CITY, UT|SALT LAKE CITY, UT | Previous registration |
| T••••••••• R••••••••• A•••••••• L•• | Bd affiliated wealth | Jan 10, 2014 | Sep 3, 2014 | no | NORTH SALT LAKE, UT | Previous registration |
| S•••••••• A••••••• L•• | National bd RIA | Feb 24, 2005 | Oct 30, 2008 | no | SALT LAKE CITY, UT | Previous registration |
| F••••••• B•••••••• S••••••• L•• | n/a | Jan 28, 2005 | Sep 8, 2005 | no | SALT LAKE CITY, UT | Previous registration |
| R•••• C•••••• M••••••••• L•• | Former SEC adviser | Apr 1, 2003 | Jan 10, 2005 | no | OREM, UT | Previous registration |
| S•••••••• A••••••• L•• | National bd RIA | Jan 26, 2001 | Feb 19, 2003 | no | SALT LAKE CITY, UT | Previous registration |
| 0 |
| Bulk transfer |
| Ibd to new firm |
| A••••• A•• P••••••• S••••••• | S•••••••• A••••••• L•• | Sep 23, 2016 | Jan 10, 2017 | 109 | Firm change | Other |
| T••••••••• R••••••••• A•••••••• L•• | A••••• A•• P••••••• S••••••• | Sep 3, 2014 | Sep 9, 2014 | 6 | Firm change | Other |
| S•••••••• A••••••• L•• | T••••••••• R••••••••• A•••••••• L•• | Oct 30, 2008 | Jan 10, 2014 | 1,898 | Firm change after gap | Other |
| F••••••• B•••••••• S••••••• L•• | S•••••••• A••••••• L•• | Sep 8, 2005 | Feb 24, 2005 | -196 | Firm change after gap | Other |
| R•••• C•••••• M••••••••• L•• | F••••••• B•••••••• S••••••• L•• | Jan 10, 2005 | Jan 28, 2005 | 18 | Firm change | Other |
| S•••••••• A••••••• L•• | R•••• C•••••• M••••••••• L•• | Feb 19, 2003 | Apr 1, 2003 | 41 | Firm change | Other |