DFX Intelligence
RIA Intelligence
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Feed of 09/14/2026
At current firm
19 y
since Aug 27, 2007
In the industry
27 y
since Oct 27, 1998 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- P••••••• L• independent RIA currentsince Aug 27, 2007 · St. George, Ut
- A•••••• A•••••••• I••• unclassifiedDec 14, 2004 to Aug 13, 2007 · Salt Lake City, Ut
- E•• F•••••••• A••••••• independent RIAApr 10, 2002 to Nov 18, 2004 · St. George, Ut
Moves
a registration end followed by a registration begin elsewhere
- A•••••• A•••••••• I••• to P••••••• L•left Aug 13, 2007, registered Aug 27, 2007 (14 days) · Other
- E•• F•••••••• A••••••• to A•••••• A•••••••• I•••left Nov 18, 2004, registered Dec 14, 2004 (26 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
- Independent wealth managerderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address