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•••• T••••• R••••

J••• M••••• S••••••••• L••wirehouseCedar Hills, Utdual registrantIAPD 2652984

Feed of 09/14/2026

Also filed as S•••• T••••• R••••

At current firm

0 y

since Sep 29, 2025

In the industry

19 y

since Jan 17, 2007 (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

J••• M••••• S••••••••• L•• wirehouse current
since Sep 29, 2025 · Cedar Hills, Ut
T•••• W••••• G•••• L•• independent RIA
Mar 5, 2024 to May 28, 2025 · Murray, Ut
V•••• F•••••••• A•••••••• I••• BD affiliated
May 1, 2023 to Nov 30, 2023 · Salt Lake City, Ut
P•••••••• S••••••••• I••• BD affiliated
Sep 9, 2022 to Oct 4, 2022 · Herriman, Ut
W•••• F•••• A••••••• wirehouse
Jul 23, 2013 to Jun 29, 2022 · Salt Lake City, Ut
U•• F•••••••• S••••••• I••• wirehouse
Jan 17, 2007 to Jan 24, 2008 · Salt Lake City, Ut

Moves

a registration end followed by a registration begin elsewhere

T•••• W••••• G•••• L•• to J••• M••••• S••••••••• L••
left May 28, 2025, registered Sep 29, 2025 (124 days) · RIA to wirehouse
V•••• F•••••••• A•••••••• I••• to T•••• W••••• G•••• L••
left Nov 30, 2023, registered Mar 5, 2024 (96 days) · Affiliated broker-dealer or bank to independent RIA
P•••••••• S••••••••• I••• to V•••• F•••••••• A•••••••• I•••
left Oct 4, 2022, registered May 1, 2023 (209 days) · Affiliated broker-dealer or bank to another
W•••• F•••• A••••••• to P•••••••• S••••••••• I•••
left Jun 29, 2022, registered Sep 9, 2022 (72 days) · Wirehouse to affiliated broker-dealer or bank
U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••
left Jan 24, 2008, registered Jul 23, 2013 (2007 days) · Wirehouse to wirehouse

Signals

S•••• T••••• R•••• left T•••• W••••• G•••• L•• for J••• M••••• S••••••••• L•• (registered 2025-09-29)
May 28, 2025 · Advisor changed firm · fact
S•••• T••••• R•••• left V•••• F•••••••• A•••••••• I••• for T•••• W••••• G•••• L•• (registered 2024-03-05)
Nov 30, 2023 · Advisor changed firm · fact
S•••• T••••• R•••• left P•••••••• S••••••••• I••• for V•••• F•••••••• A•••••••• I••• (registered 2023-05-01)
Oct 4, 2022 · Advisor changed firm · fact
S•••• T••••• R•••• left W•••• F•••• A••••••• for P•••••••• S••••••••• I••• (registered 2022-09-09)
Jun 29, 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: Wirehousederived
Years in industry: 19derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address