DFX Intelligence
Reading the graph
Reading the graph
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Advisor at S•••••••• A••••••• L••
••• Locked
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|W VALLEY CITY, UT | Current employment |
| F••••••• P••••••• A•• W•••••••• A••••••• | Former SEC adviser | Oct 18, 2022 | Mar 31, 2025 | no | SALT LAKE CITY, 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 |
| T• A••••••••• I••••••••• M••••••••• L•• | F••••••• P••••••• A•• W•••••••• A••••••• | Jan 11, 2021 | Oct 18, 2022 |
| T• A••••••••• I••••••••• M••••••••• L•• | Former SEC adviser | Jan 31, 2018 | Jan 11, 2021 | no | St. Louis, MO|St. Louis, MO | Previous registration |
| T• A••••••••• I••• | Former SEC adviser | Jan 31, 2018 | Dec 31, 2020 | no | Glen Allen, VA|St. Louis, MO|JERSEY CITY, NJ|St. Louis, MO|Westlake, TX|Jacksonville, FL | Previous registration |
| S•••••••• I••••••••• M••••••••• | Former SEC adviser | Apr 14, 2015 | Apr 7, 2018 | no | SAINT LOUIS, MO | Previous registration |
| W•••••• • R••• | Former SEC adviser | Aug 8, 2014 | Nov 25, 2014 | no | EUGENE, OR | Previous registration |
| C••• F•••••••• S•••••••• L••• | Former SEC adviser | Aug 21, 2013 | Jul 11, 2014 | no | EUGENE, OR|SPRINGFIELD, OR | Previous registration |
| M••••• S•••••• | Wirehouse | Jun 1, 2009 | Sep 4, 2013 | no | EUGENE, OR | Previous registration |
| C•••••••• G••••• M•••••• I••• | Bd affiliated wealth | Jun 15, 2006 | Jun 1, 2009 | no | EUGENE, OR|SEATTLE, WA|SEATTLE, WA | Previous registration |
| 645 |
| Firm change after gap |
| RIA to ibd |
| T• A••••••••• I••• | T• A••••••••• I••••••••• M••••••••• L•• | Dec 31, 2020 | Jan 31, 2018 | -1,065 | Bulk transfer | Other |
| S•••••••• I••••••••• M••••••••• | T• A••••••••• I••• | Apr 7, 2018 | Jan 31, 2018 | -66 | Channel change | Other |
| W•••••• • R••• | S•••••••• I••••••••• M••••••••• | Nov 25, 2014 | Apr 14, 2015 | 140 | Firm change | Other |
| C••• F•••••••• S•••••••• L••• | W•••••• • R••• | Jul 11, 2014 | Aug 8, 2014 | 28 | Firm change | Other |
| M••••• S•••••• | C••• F•••••••• S•••••••• L••• | Sep 4, 2013 | Aug 21, 2013 | -14 | Firm change | Other |
| C•••••••• G••••• M•••••• I••• | M••••• S•••••• | Jun 1, 2009 | Jun 1, 2009 | 0 | Bulk transfer | Other |