DFX Intelligence
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Advisor at E••••••••
MIDVALE, 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 |
|---|---|---|---|---|---|---|
| E•••••••• | Independent wealth | Oct 14, 2024 | n/a | yes | MIDVALE, UT | Current employment |
| M••••• S•••••• | Wirehouse | Sep 5, 2023 | Oct 22, 2024 | no | Sandy, UT | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| M••••• S•••••• | E•••••••• | Oct 22, 2024 | Oct 14, 2024 | -8 | Firm change | Wirehouse to RIA |
| E•••••• C•••••• M••••••••• L•• | M••••• S•••••• | Sep 5, 2023 | Sep 5, 2023 |
| Former SEC adviser |
| Mar 26, 2018 |
| Sep 5, 2023 |
| no |
| Sandy, UT|ARLINGTON, VA |
| Previous registration |
| T• A••••••••• I••••••••• M••••••••• L•• | Former SEC adviser | Sep 29, 2011 | Mar 26, 2018 | no | DRAPER, UT|Salt Lake City, UT | Previous registration |
| T• A••••••••• I••• | Former SEC adviser | Sep 29, 2011 | Mar 26, 2018 | no | DRAPER, UT|Draper, UT|MISSION VIEJO, CA|Salt Lake City, UT | Previous registration |
| Bulk transfer |
| RIA to wirehouse |
| T• A••••••••• I••••••••• M••••••••• L•• | T• A••••••••• I••• | Mar 26, 2018 | Sep 29, 2011 | -2,370 | Channel change | Other |
| T• A••••••••• I••• | T• A••••••••• I••••••••• M••••••••• L•• | Mar 26, 2018 | Sep 29, 2011 | -2,370 | Firm change after gap | Other |