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

B•••• S•••• U•••

L•• F•••••••• L••BD affiliatedCenterville, Ut dual registrantIAPD 3091085

Certified Financial Planner

Feed of 09/15/2026

At current firm

11 y

since Aug 28, 2015

In the industry

28 y

since Aug 19, 1998 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

L•• F•••••••• L•• BD affiliated current
since Aug 28, 2015 · So. Ogden, Ut
T••• F•••••••• independent RIA
Mar 11, 2009 to May 29, 2012 · Salt Lake City, Ut
E•••••••• A•••••••• L•• national BD
Jun 1, 2005 to Aug 5, 2015 · Salt Lake City, Ut
M••• S••••••••• C••••••••• unclassified
Jul 23, 2002 to Jun 1, 2005 · Salt Lake City , Ut
T••• F•••••••• independent RIA
Nov 6, 2001 to Jul 20, 2007 · Midvale, Ut

Moves

a registration end followed by a registration begin elsewhere

E•••••••• A•••••••• L•• to T••• F••••••••
left Aug 5, 2015, registered Mar 11, 2009 (-2338 days) · Other
T••• F•••••••• to L•• F•••••••• L••
left May 29, 2012, registered Aug 28, 2015 (1186 days) · Other
T••• F•••••••• to M••• S••••••••• C•••••••••
left Jul 20, 2007, registered Jul 23, 2002 (-1823 days) · Other
M••• S••••••••• C••••••••• to E•••••••• A•••••••• L••
left Jun 1, 2005, registered Jun 1, 2005 (0 days) · corporate re-registration, not a move

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: 28derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address