DFX Intelligence
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Registered advisor
Q•••• D••••• C•••••••
Feed of 09/14/2026
Also filed as Q•••• D••••• C•••••••
At current firm
5 y
since Jan 21, 2021
In the industry
24 y
since Jun 19, 2002 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
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
- J• W• C••• A•••••••• I••• BD affiliated currentsince Jan 21, 2021 · Tampa, Fl
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedMar 4, 2016 to Dec 31, 2020 · Cottonwood Heights, Ut
- M•• F•••••••• S•••••••• I••• formerSep 8, 2015 to Mar 9, 2016 · Sandy, Ut
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedAug 6, 2012 to Sep 4, 2015 · Midvale, Ut
- W••••••• F•••••••• S•••••••• I••• formerNov 9, 2009 to Aug 8, 2012 · Clearfield, Ut
- S••••••• F•••••••• S•••••••• I••• formerJul 3, 2002 to Nov 16, 2009 · Ogden, Ut
Moves
a registration end followed by a registration begin elsewhere
- C•••••••• I••••••••• R••••••• A•••••••• I••• to J• W• C••• A•••••••• I•••left Dec 31, 2020, registered Jan 21, 2021 (21 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- M•• F•••••••• S•••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Mar 9, 2016, registered Mar 4, 2016 (-5 days) · Other
- C•••••••• I••••••••• R••••••• A•••••••• I••• to M•• F•••••••• S•••••••• I•••left Sep 4, 2015, registered Sep 8, 2015 (4 days) · Other
- W••••••• F•••••••• S•••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Aug 8, 2012, registered Aug 6, 2012 (-2 days) · Other
- S••••••• F•••••••• S•••••••• I••• to W••••••• F•••••••• S•••••••• I•••left Nov 16, 2009, registered Nov 9, 2009 (-7 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address