DFX Intelligence

P•••• M• F••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)19 years in industry

P•••• M• F••••••••

Advisor at A••••••• W•••••• L••

SOUTH JORDAN, UT

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Search this name across graphsid dfx:ria:851d6457-d460-ae6f-de5c-467d8af9a168

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:01 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Feb 28, 2007 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: A••••••• W•••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Feb 27, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A••••••• W•••••• L••	Independent wealth	Sep 11, 2020	n/a	yes	SOUTH JORDAN, UT	Current employment
F•• S••••••••• C•••••••••	Former SEC adviser	May 3, 2016	Sep 2, 2020	no	NEW CITY, NY\|AMHERST, NY\|SALT LAKE CITY, UT

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
F•• S••••••••• C•••••••••	A••••••• W•••••• L••	Sep 2, 2020	Sep 11, 2020	9	Firm change	Ibd to RIA
J••• M••••• S••••••••• L••	F•• S••••••••• C•••••••••	May 10, 2016	May 3, 2016

Relationships

Registered with (6)

→ A••••••• W•••••• L••Registered adviserregistration: current employment
Sep 11, 2020 to presentfactForm ADV
→ F•• S••••••••• C•••••••••Registered adviserregistration: previous registration
May 3, 2016 to Sep 2, 2020factForm ADV
→ J••• M••••• S••••••••• L••Registered adviserregistration: previous registration
Oct 1, 2012 to May 10, 2016factForm ADV
→ C•••• I••••••••• S••••••• C••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:851d6457-d460-ae6f-de5c-467d8af9a168
First observed: Feb 28, 2007
Last observed: Sep 14, 2026 8 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.