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
At current firm
2 y
since Jan 24, 2024
In the industry
29 y
since Nov 11, 1996 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Corient independent RIA currentsince Jan 24, 2024 · Salt Lake City, Ut
- LPL Financial LLC BD affiliatedApr 4, 2017 to Jan 31, 2024 · Salt Lake City, Ut
- Zions Capital Advisors, Inc. institutionalJan 12, 2006 to Apr 4, 2017 · Salt Lake City, Ut
- Zions Direct, Inc. unclassifiedMay 17, 2004 to Dec 31, 2006 · Park City, Ut
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseAug 28, 1997 to Oct 11, 2002 · Ogden, Ut
Moves
a registration end followed by a registration begin elsewhere
- LPL Financial LLC to Corientleft Jan 31, 2024, registered Jan 24, 2024 (-7 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- Zions Capital Advisors, Inc. to LPL Financial LLCleft Apr 4, 2017, registered Apr 4, 2017 (0 days) · Other
- Zions Direct, Inc. to Zions Capital Advisors, Inc.left Dec 31, 2006, registered Jan 12, 2006 (-353 days) · Other
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to Zions Direct, Inc.left Oct 11, 2002, registered May 17, 2004 (584 days) · Other
Signals
- Brian D Moore left Lpl Financial Llc for Corient (registered 2024-01-24)Jan 31, 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
- Independent wealth managerderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address