DFX Intelligence
Reading the graph
Reading the graph
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Advisor at P•••••••• W••••• M••••••••• I•••
DRAPER, 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 |
|---|---|---|---|---|---|---|
| P•••••••• W••••• M••••••••• I••• | State registered | Sep 26, 2019 | n/a | yes | DRAPER, UT | Current employment |
| A•• I••••••••• A•••••••• I••• | Former SEC adviser | May 29, 2018 | Apr 11, 2019 | no | KAYSVILLE, UT | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| A•• I••••••••• A•••••••• I••• | P•••••••• W••••• M••••••••• I••• | Apr 11, 2019 | Sep 26, 2019 | 168 | Firm change | RIA to state RIA |
| A•••••• I••••••••• A•••••••• L•• | A•• I••••••••• A•••••••• I••• | Jun 28, 2018 | May 29, 2018 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 157314:293750:ID:2018-06-14 | Jun 28, 2018 | May 29, 2018 | IDAHO FALLS, ID | Firm change |
| A•••••• I••••••••• A•••••••• L•• | Former SEC adviser | Oct 5, 2016 | Jun 28, 2018 | no | SOUTH JORDAN, UT|IDAHO FALLS, ID | Previous registration |
| B••••••••• W••••• A•••••••• L•• | No RAUM reported | Sep 12, 2014 | Oct 27, 2016 | no | SOUTH JORDAN, UT|SOUTH JORDAN, UT | Previous registration |
| C• A••••••• S••••••• | Independent wealth | Nov 18, 2013 | Apr 30, 2015 | no | SOUTH JORDAN, UT|WILLIAMSTON, MI | Previous registration |
| C• A••••••• S••••••• | Independent wealth | Feb 19, 2013 | Feb 22, 2013 | no | SOUTH JORDAN, UT|WILLIAMSTON, MI | Previous registration |
| S•• | Bd affiliated wealth | Jan 13, 2010 | Nov 18, 2013 | no | SALT LAKE CITY, UT|ANN ARBOR, MI | Previous registration |
| N•• E•••••• S••••••••• C••••••••• | Former SEC adviser | Sep 11, 2007 | Sep 24, 2008 | no | SANDY, UT | Previous registration |
| A••••••••• F•••••••• S•••••••• L•• | National bd RIA | Apr 17, 2002 | Aug 29, 2007 | no | MIDVALE, UT|MIDVALE, UT | Previous registration |
| -30 |
| Firm change |
| RIA to new firm |
| B••••••••• W••••• A•••••••• L•• | A•••••• I••••••••• A•••••••• L•• | Oct 27, 2016 | Oct 5, 2016 | -22 | Firm change | Other |
| C• A••••••• S••••••• | B••••••••• W••••• A•••••••• L•• | Apr 30, 2015 | Sep 12, 2014 | -230 | Firm change after gap | Other |
| S•• | C• A••••••• S••••••• | Nov 18, 2013 | Feb 19, 2013 | -272 | Firm change after gap | Other |
| N•• E•••••• S••••••••• C••••••••• | S•• | Sep 24, 2008 | Jan 13, 2010 | 476 | Firm change after gap | Other |
| A••••••••• F•••••••• S•••••••• L•• | N•• E•••••• S••••••••• C••••••••• | Aug 29, 2007 | Sep 11, 2007 | 13 | Firm change | Other |