DFX Intelligence
RIA Intelligence
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Registered advisor
T••• D•••• H••••••
Feed of 09/14/2026
At current firm
8 y
since May 29, 2018
In the industry
33 y
since Mar 17, 1993 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince May 29, 2018 · Midvale, Ut
- M•• I•••••••• S•••••••• L•• BD affiliatedDec 18, 2003 to May 30, 2018 · Lehi, Ut
- P••• A••••• S••••••••• L•• BD affiliatedJan 1, 2001 to Dec 3, 2003 · Lehi, Ut
Moves
a registration end followed by a registration begin elsewhere
- M•• I•••••••• S•••••••• L•• to A••••••••• F•••••••• S•••••••• L••left May 30, 2018, registered May 29, 2018 (-1 days) · Affiliated broker-dealer or bank to another · moved with a team
- P••• A••••• S••••••••• L•• to M•• I•••••••• S•••••••• L••left Dec 3, 2003, registered Dec 18, 2003 (15 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
- National broker-dealer RIAderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address