DFX Intelligence
Reading the graph
Reading the graph
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Advisor at S••••• R••••••••• A••••••• L••
PROVO, 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••••• R••••••••• A••••••• L•• | State registered | Mar 18, 2025 | n/a | yes | PROVO, UT | Current employment |
| O•••• P•••••••• S••••••••• L•• | Bd affiliated wealth | Jan 23, 2023 | Mar 17, 2025 | no | OMAHA, NE | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| O•••• P•••••••• S••••••••• L•• | S••••• R••••••••• A••••••• L•• | Mar 17, 2025 | Mar 18, 2025 | 1 | Firm change | Ibd to state RIA |
| O•••• P•••••••• S••••••••• L•• | O•••• P•••••••• S••••••••• L•• | Jan 6, 2023 | Jan 23, 2023 |
| O•••• P•••••••• S••••••••• L•• | Former SEC adviser | May 27, 2022 | Jan 6, 2023 | no | OMAHA, NE | Previous registration |
| E••••••• C•••••• A•••••••• L•• | Independent wealth | Jun 3, 2019 | Dec 10, 2021 | no | DRAPER, UT | Previous registration |
| A••••• W••••• M••••••••• L•• | Independent wealth | Jan 9, 2019 | May 29, 2019 | no | LAS VEGAS, NV | Previous registration |
| 17 |
| Bulk transfer |
| RIA to ibd |
| E••••••• C•••••• A•••••••• L•• | O•••• P•••••••• S••••••••• L•• | Dec 10, 2021 | May 27, 2022 | 168 | Firm change | RIA to RIA |
| A••••• W••••• M••••••••• L•• | E••••••• C•••••• A•••••••• L•• | May 29, 2019 | Jun 3, 2019 | 5 | Firm change | RIA to RIA |