DFX Intelligence
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Reading the graph
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Advisor at I••••• P••••••• L••
SAN CLEMENTE, CA | South Jordan, 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 |
|---|---|---|---|---|---|---|
| I••••• P••••••• L•• | Independent wealth | Sep 26, 2022 | n/a | yes | SAN CLEMENTE, CA|South Jordan, UT | Current employment |
| F•••••••• W••••• M••••••••• L•• | Former SEC adviser | May 24, 2017 | Nov 11, 2022 | no | DRAPER, UT |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| F•••••••• W••••• M••••••••• L•• | I••••• P••••••• L•• | Nov 11, 2022 | Sep 26, 2022 | -46 | Firm change after gap | RIA to RIA |
| G••••• S••••••••• I••• | F•••••••• W••••• M••••••••• L•• | May 23, 2017 | May 24, 2017 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 153881:289797:UT:2022-11-11 | Nov 11, 2022 | Sep 26, 2022 | DRAPER, UT | Firm change after gap |
| G••••• S••••••••• I••• | Former SEC adviser | Apr 18, 2011 | May 23, 2017 | no | SALT LAKE CITY, UT|SALT LAKE CITY, UT|SAN DIEGO, CA | Previous registration |
| E•••••••• A•••••••• L•• | National bd RIA | Dec 8, 2008 | Apr 25, 2011 | no | SALT LAKE CITY, UT|SOUTH JORDON, UT|SALT LAKE CITY, UT|SOUTH JORDAN, UT | Previous registration |
| 1 |
| Firm change |
| Other |
| E•••••••• A•••••••• L•• | G••••• S••••••••• I••• | Apr 25, 2011 | Apr 18, 2011 | -7 | Firm change | Other |