DFX Intelligence
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Feed of 09/14/2026
Also filed as T••• S•••• C••••
At current firm
1 y
since Mar 31, 2025
In the industry
22 y
since Jun 20, 2004 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, 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
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Lehi, Ut
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Mar 31, 2025 · Boston, Ma
- S•••••••• A••••••• L•• national BDNov 23, 2011 to Jul 13, 2018 · American Fork, Ut
- T• A••••••••• I••••••••• M••••••••• L•• formerJan 12, 2010 to Mar 24, 2011 · Las Vegas, Nv
- T• A••••••••• I••• formerJan 12, 2010 to Mar 24, 2011 · Las Vegas, Nv
- E•••••• C•••••• M••••••••• L•• formerSep 22, 2008 to Oct 21, 2008 · Arlington, Va
- M••••• S•••••• D• I••• unclassifiedApr 7, 2006 to Dec 19, 2006 · West Valley, Ut
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Mar 24, 2011, registered Jan 12, 2010 (-436 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Mar 24, 2011, registered Jan 12, 2010 (-436 days) · channel change inside one enterprise, not a move
- E•••••• C•••••• M••••••••• L•• to T• A••••••••• I•••left Oct 21, 2008, registered Jan 12, 2010 (448 days) · Other
- M••••• S•••••• D• I••• to E•••••• C•••••• M••••••••• L••left Dec 19, 2006, registered Sep 22, 2008 (643 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
- National broker-dealer RIAderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address