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

R••• R••• T•••••

L•• F•••••••• L••BD affiliatedClearfield, Ut dual registrantIAPD 4258039

Feed of 09/15/2026

At current firm

1 y

since May 27, 2025

In the industry

25 y

since Jan 25, 2001 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

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 May 27, 2025 · Ogden, Ut
C••• F•••••••• S•••••••• L••• former
Nov 10, 2014 to May 27, 2025 · Layton, Ut
N•••• C•••••• independent RIA
Sep 5, 2014 to Nov 7, 2014 · Salt Lake City, Ut
S••••••••• A•••• I••••••••• L•• former
Oct 25, 2011 to Oct 3, 2013 · New York, Ny
W•••• F•••• A••••••• wirehouse
May 13, 2010 to Oct 21, 2011 · Wayne, Pa
W•••• F•••• I••••••••• L•• unclassified
Aug 19, 2004 to Mar 31, 2010 · Marina Del Rey, Ca

Moves

a registration end followed by a registration begin elsewhere

C••• F•••••••• S•••••••• L••• to L•• F•••••••• L••
left May 27, 2025, registered May 27, 2025 (0 days) · corporate re-registration, not a move
N•••• C•••••• to C••• F•••••••• S•••••••• L•••
left Nov 7, 2014, registered Nov 10, 2014 (3 days) · Other
S••••••••• A•••• I••••••••• L•• to N•••• C••••••
left Oct 3, 2013, registered Sep 5, 2014 (337 days) · Other
W•••• F•••• A••••••• to S••••••••• A•••• I••••••••• L••
left Oct 21, 2011, registered Oct 25, 2011 (4 days) · channel change inside one enterprise, not a move
W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••
left Mar 31, 2010, registered May 13, 2010 (43 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: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address