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.

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Registered advisor

C••••• D•••••

S••• W••••• L••BD affiliatedCottonwood Heights, Ut dual registrantIAPD 2431044

Feed of 09/14/2026

Also filed as Carlos Joseph Dardon

At current firm

0 y

since Oct 24, 2025

In the industry

14 y

since Oct 21, 2011 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

S••• W••••• L•• BD affiliated current
since Oct 24, 2025 · Cottonwood Heights, Ut
S•• BD affiliated
Apr 23, 2024 to Oct 10, 2025 · Salt Lake City, Ut
W•••• F•••• A••••••• wirehouse
Mar 17, 2023 to Apr 25, 2024 · Salt Lake City, Ut
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Sep 8, 2022 to Feb 22, 2023 · San Francisco, Ca
M••••• S•••••• wirehouse
Oct 8, 2021 to Aug 16, 2022 · San Francisco, Ca
M••••• S•••••• wirehouse
Apr 1, 2014 to Jun 1, 2021 · South Jordan, Ut

Moves

a registration end followed by a registration begin elsewhere

S•• to S••• W••••• L••
left Oct 10, 2025, registered Oct 24, 2025 (14 days) · Affiliated broker-dealer or bank to another
W•••• F•••• A••••••• to S••
left Apr 25, 2024, registered Apr 23, 2024 (-2 days) · Wirehouse to affiliated broker-dealer or bank
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••
left Feb 22, 2023, registered Mar 17, 2023 (23 days) · Wirehouse to wirehouse
M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Aug 16, 2022, registered Sep 8, 2022 (23 days) · Wirehouse to wirehouse

Signals

C••••• D••••• left Spc for S••• W••••• L•• (registered 2025-10-24)
Oct 10, 2025 · Advisor changed firm · fact
C••••• D••••• left W•••• F•••• A••••••• for Spc (registered 2024-04-23)
Apr 25, 2024 · Advisor changed firm · fact
C••••• D••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for W•••• F•••• A••••••• (registered 2023-03-17)
Feb 22, 2023 · Advisor changed firm · fact
C••••• D••••• left M••••• S•••••• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2022-09-08)
Aug 16, 2022 · Advisor changed firm · fact

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: 14derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address