DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Feed of 09/14/2026
Also filed as Brian Weese
At current firm
4 y
since Sep 30, 2021
In the industry
35 y
since Dec 7, 1990 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S65, 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
- Newedge Advisors BD affiliated currentsince Sep 30, 2021 · Farmington, Ut
- Iht Wealth Management LLC BD affiliatedMay 13, 2021 to Sep 30, 2021 · Farmington, Ut
- Wells Fargo Advisors wirehouseFeb 26, 2008 to May 17, 2021 · Salt Lake City, Ut
- UBS Financial Services Inc. wirehouseSep 15, 2006 to Feb 26, 2008 · Salt Lake City, Ut
- Citigroup Global Markets Inc. BD affiliatedJul 30, 1993 to Sep 28, 2006 · Salt Lake City, Ut
Moves
a registration end followed by a registration begin elsewhere
- Iht Wealth Management LLC to Newedge Advisorsleft Sep 30, 2021, registered Sep 30, 2021 (0 days) · RIA to affiliated broker-dealer or bank
- Wells Fargo Advisors to Iht Wealth Management LLCleft May 17, 2021, registered May 13, 2021 (-4 days) · Wirehouse to independent RIA · moved with a team
- UBS Financial Services Inc. to Wells Fargo Advisorsleft Feb 26, 2008, registered Feb 26, 2008 (0 days) · Wirehouse to wirehouse
- Citigroup Global Markets Inc. to UBS Financial Services Inc.left Sep 28, 2006, registered Sep 15, 2006 (-13 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address