DFX Intelligence
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Registered advisor
D•••• S•••••••• A••••
Feed of 09/14/2026
Also filed as D•••• P••••••••• P•••••• S••••••••• S••••••••• P••••••••• A••••••••• A••••
At current firm
1 y
since May 15, 2025
In the industry
42 y
since Jul 13, 1984 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince May 15, 2025 · Ogden, Ut
- C••• F•••••••• S•••••••• L••• formerApr 8, 2019 to May 15, 2025 · Ogden, Ut
- S•••••••• A••••••• L•• national BDMay 30, 2002 to Jul 12, 2017 · Salt Lake City, Ut
Moves
a registration end followed by a registration begin elsewhere
- C••• F•••••••• S•••••••• L••• to L•• F•••••••• L••left May 15, 2025, registered May 15, 2025 (0 days) · corporate re-registration, not a move
- S•••••••• A••••••• L•• to C••• F•••••••• S•••••••• L•••left Jul 12, 2017, registered Apr 8, 2019 (635 days) · Affiliated broker-dealer or bank to another
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address