DFX Intelligence
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J••••• D• B••
As of · the IAPD feed; also filed as J••••• I•••• W••••••••• I•••• W••••••••• D• B••••••••• I•••• D• B••
- At current firm
- 1 y
- In the industry
- 20 y
- Prior registered firms
- 7
- Signals
- 0
since Mar 31, 2025
As of · the IAPD feed; also filed as J••••• I•••• W••••••••• I•••• W••••••••• D• B••••••••• I•••• D• B••
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Registration history
IAPD current and previous registrations
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Cottonwood Heights, Ut
- F••••••• P••••••• A•• W•••••••• A••••••• formerJan 21, 2021 to Mar 31, 2025 · Salt Lake City, Ut
- A••••• A•• P••••••• S••••••• BD affiliatedJan 23, 2018 to Nov 13, 2020 · Salt Lake City, Ut
- S•••••••• A••••••• L•• national BDFeb 23, 2017 to Jan 5, 2018 · Orem, Ut
- E•••••••• A•••••••• L•• national BDDec 5, 2016 to Jan 31, 2017 · Salt Lake City, Ut
- S•••••••• A••••••• L•• national BDMar 28, 2011 to Apr 8, 2016 · Salt Lake City, Ut
All 7 prior registrationsShow fewer
- F••••••• P••••••• T•••• C••••••• F•• unclassifiedMar 28, 2006 to Mar 28, 2007 · Salt Lake City, Ut
- S•••••••• A••••••• L•• national BDMar 28, 2006 to Jun 19, 2009 · Salt Lake City, Ut
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- A••••• A•• P••••••• S••••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Nov 13, 2020, registered Jan 21, 2021 (69 days) · Affiliated broker-dealer or bank to another
- S•••••••• A••••••• L•• to A••••• A•• P••••••• S•••••••left Jan 5, 2018, registered Jan 23, 2018 (18 days) · Other
- E•••••••• A•••••••• L•• to S•••••••• A••••••• L••left Jan 31, 2017, registered Feb 23, 2017 (23 days) · Affiliated broker-dealer or bank to another
- S•••••••• A••••••• L•• to E•••••••• A•••••••• L••left Apr 8, 2016, registered Dec 5, 2016 (241 days) · Affiliated broker-dealer or bank to another
All 6 movesShow fewer
- F••••••• P••••••• T•••• C••••••• F•• to S•••••••• A••••••• L••left Mar 28, 2007, registered Mar 28, 2006 (-365 days) · Other
Signals
No dated event on this person.
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, the raw outside business text and any address in it, personal outside activities, branch street addressoutside businesses appear above as structured facts, reviewed, with a short quote