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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Registered advisor

S••••• B•••••••••

S•••••••• A••••••• L••national BDFarmington, Ut dual registrantIAPD 2641076

Certified Financial Planner

Feed of 09/15/2026

Also filed as S••••• Mark B•••••••••

At current firm

1 y

since May 22, 2025

In the industry

28 y

since Mar 27, 1998 (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•••••••• A••••••• L•• national BD current
since May 22, 2025 · Farmington, Ut
E••••• J•••• national BD
Jul 19, 2024 to Apr 23, 2025 · Bountiful, Ut
F••••••• P••••••• A•• W•••••••• A••••••• former
Jul 13, 2018 to Jul 5, 2024 · Boston, Ma
S•••••••• A••••••• L•• national BD
May 13, 2013 to Jul 13, 2018 · Salt Lake City, Ut
O•••• W•••••• I••• BD affiliated
Feb 9, 2012 to Apr 22, 2013 · Draper, Ut
F•••• W•••••• A••••••• former
Apr 12, 2005 to Feb 6, 2012 · Salt Lake City, Ut
T• A••••••••• I••• former
May 28, 2003 to Apr 11, 2005 · Salt Lake City, Ut

Moves

a registration end followed by a registration begin elsewhere

E••••• J•••• to S•••••••• A••••••• L••
left Apr 23, 2025, registered May 22, 2025 (29 days) · Affiliated broker-dealer or bank to another
F••••••• P••••••• A•• W•••••••• A••••••• to E••••• J••••
left Jul 5, 2024, registered Jul 19, 2024 (14 days) · Affiliated broker-dealer or bank to another
S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••
left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
O•••• W•••••• I••• to S•••••••• A••••••• L••
left Apr 22, 2013, registered May 13, 2013 (21 days) · Other
F•••• W•••••• A••••••• to O•••• W•••••• I•••
left Feb 6, 2012, registered Feb 9, 2012 (3 days) · Other
T• A••••••••• I••• to F•••• W•••••• A•••••••
left Apr 11, 2005, registered Apr 12, 2005 (1 days) · Other

Signals

S••••• B••••••••• left E••••• J•••• for S•••••••• A••••••• L•• (registered 2025-05-22)
Apr 23, 2025 · Advisor changed firm · fact
S••••• B••••••••• left F••••••• P••••••• A•• W•••••••• A••••••• for E••••• J•••• (registered 2024-07-19)
Jul 5, 2024 · 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: National broker-dealer RIAderived
Years in industry: 28derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address