DFX Intelligence
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Registered advisor
R••• K••• F•••
R•••••• J•••• F•••••••• S••••••• A•••••••• I••BD affiliatedSalt Lake City, Utdual registrantIAPD 4108306
Feed of 09/14/2026
Also filed as R••• F•••••••• K••• F••••••••• K••• F•••
At current firm
6 y
since Jul 29, 2020
In the industry
26 y
since Apr 3, 2000 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
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
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Jul 29, 2020 · Salt Lake City, Ut
- W•••• F•••• A••••••• wirehouseFeb 10, 2011 to Jul 30, 2020 · Salt Lake City, Ut
- M••••• S•••••• wirehouseJun 1, 2009 to Feb 17, 2011 · Salt Lake City, Ut
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · Salt Lake City, Ut
- M••••• S•••••• D• I••• unclassifiedAug 9, 2000 to Apr 2, 2007 · Salt Lake City, Ut
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jul 30, 2020, registered Jul 29, 2020 (-1 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- M••••• S•••••• to W•••• F•••• A•••••••left Feb 17, 2011, registered Feb 10, 2011 (-7 days) · Wirehouse to wirehouse
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address