DFX Intelligence
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Registered advisor
M•••••• T••••• M••••
Feed of 09/14/2026
At current firm
2 y
since Jan 19, 2024
In the industry
29 y
since Aug 15, 1997 (earliest exam, job or registration)
Prior registered firms
7
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- O•••• W•••••• I••• BD affiliated currentsince Jan 19, 2024 · Bountiful, Ut
- W••••••• F•••••••• S•••••••• I••• formerMar 1, 2019 to Jan 19, 2024 · Bountiful, Ut
- Q•••••• A•••• M••••••••• I••• formerApr 1, 2009 to Mar 1, 2019 · Minneapolis, Mn
- B••••••• I••••••••• S•••••••• I••• ••••• formerOct 20, 2008 to Mar 26, 2009 · Salt Lake City, Ut
- W••• I••••••••• I••• unclassifiedJul 25, 2008 to Oct 20, 2008 · Salt Lake City, Ut
- C••••••••• F•••••••• N•••••• national BDApr 15, 2005 to Jul 16, 2008 · Clearfield, Ut
- S••••••• F•••••••• S•••••••• I••• formerFeb 21, 2003 to Apr 14, 2005 · Clearfield, Ut
- S••••••• F•••••••• S•••••••• I••• formerJun 25, 2001 to Sep 17, 2002 · Salt Lake City, Ut
Moves
a registration end followed by a registration begin elsewhere
- W••••••• F•••••••• S•••••••• I••• to O•••• W•••••• I•••left Jan 19, 2024, registered Jan 19, 2024 (0 days) · corporate re-registration, not a move
- Q•••••• A•••• M••••••••• I••• to W••••••• F•••••••• S•••••••• I•••left Mar 1, 2019, registered Mar 1, 2019 (0 days) · corporate re-registration, not a move
- B••••••• I••••••••• S•••••••• I••• ••••• to Q•••••• A•••• M••••••••• I•••left Mar 26, 2009, registered Apr 1, 2009 (6 days) · Other
- W••• I••••••••• I••• to B••••••• I••••••••• S•••••••• I••• •••••left Oct 20, 2008, registered Oct 20, 2008 (0 days) · Other
- C••••••••• F•••••••• N•••••• to W••• I••••••••• I•••left Jul 16, 2008, registered Jul 25, 2008 (9 days) · Other
- S••••••• F•••••••• S•••••••• I••• to C••••••••• F•••••••• N••••••left Apr 14, 2005, registered Apr 15, 2005 (1 days) · Other
Signals
No dated event on this person.
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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address