DFX Intelligence

S••••• A•••••• T•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)22 years in industry

S••••• A•••••• T•••••

Advisor at C•••••• S••••• • C••• I•••

Cottonwood Heights, UT

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Search this name across graphsid dfx:ria:9842d651-9829-013d-1eb7-78f526da6d50

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:25 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Jan 30, 2004 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: C•••••• S••••• • C••• I•••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Jan 28, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••• S••••• • C••• I•••	National bd RIA	Sep 26, 2023	n/a	yes	Cottonwood Heights, UT	Current employment
M••••• S••••••	Wirehouse	Jan 12, 2023	Sep 22, 2023	no	Sandy, UT	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M••••• S••••••	C•••••• S••••• • C••• I•••	Sep 22, 2023	Sep 26, 2023	4	Firm change	Wirehouse to ibd
E•••••• C•••••• M••••••••• L••	M••••• S••••••	Sep 5, 2023	Jan 12, 2023

Relationships

Registered with (6)

→ C•••••• S••••• • C••• I•••Registered adviserregistration: current employment
Sep 26, 2023 to presentfactForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Jan 12, 2023 to Sep 22, 2023factForm ADV
→ E•••••• C•••••• M••••••••• L••Registered adviserregistration: previous registration
Jun 14, 2010 to Sep 5, 2023factForm ADV
→ L•• F•••••••• L••

Dated events

Occurred
Sep 22, 2023
Advisor changed firm
S••••• A•••••• T••••• left M••••• S•••••• for C•••••• S••••• • C••• I••• (registered 2023-09-26)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9842d651-9829-013d-1eb7-78f526da6d50
First observed: Jan 30, 2004
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.