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

S•••• W••••• R•••

P•••••• C••••• A•••••• G••••• L••independent RIAAlpine, Ut IA-onlyIAPD 4911591

Feed of 09/14/2026

Also filed as S•••• R•••

At current firm

2 y

since Aug 1, 2024

In the industry

21 y

since Apr 30, 2005 (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

P•••••• C••••• A•••••• G••••• L•• independent RIA current
since Aug 1, 2024 · Alpine, Ut
O•••• former
May 16, 2023 to Aug 1, 2024 · Alpine, Ut
K•••••••• W••••• A•••••••• L•• BD affiliated
Jun 28, 2022 to May 15, 2023 · San Diego, Ca
I••••••••• A••••• I••••••••• M••••••••• L•• BD affiliated
Jul 8, 2019 to Jun 27, 2022 · Orlando, Fl
G••••• V••• C•••••• M••••••••• L•• independent RIA
Jan 6, 2014 to Jun 14, 2019 · Pleasant Grove, Ut
T•• S•••••••• F•••••••• A••••••• BD affiliated
Apr 22, 2013 to Dec 31, 2013 · Pleasant Grove, Ut
T••••••••• F•••••••• A•••••••• L•• BD affiliated
Feb 22, 2012 to Apr 16, 2013 · So. Jordan, Ut

Moves

a registration end followed by a registration begin elsewhere

O•••• to P•••••• C••••• A•••••• G••••• L••
left Aug 1, 2024, registered Aug 1, 2024 (0 days) · RIA to RIA
K•••••••• W••••• A•••••••• L•• to O••••
left May 15, 2023, registered May 16, 2023 (1 days) · Affiliated broker-dealer or bank to independent RIA
I••••••••• A••••• I••••••••• M••••••••• L•• to K•••••••• W••••• A•••••••• L••
left Jun 27, 2022, registered Jun 28, 2022 (1 days) · Affiliated broker-dealer or bank to independent RIA
G••••• V••• C•••••• M••••••••• L•• to I••••••••• A••••• I••••••••• M••••••••• L••
left Jun 14, 2019, registered Jul 8, 2019 (24 days) · RIA to affiliated broker-dealer or bank
T•• S•••••••• F•••••••• A••••••• to G••••• V••• C•••••• M••••••••• L••
left Dec 31, 2013, registered Jan 6, 2014 (6 days) · corporate re-registration, not a move
T••••••••• F•••••••• A•••••••• L•• to T•• S•••••••• F•••••••• A•••••••
left Apr 16, 2013, registered Apr 22, 2013 (6 days) · Other

Signals

S•••• W••••• R••• left Owlfi for P•••••• C••••• A•••••• G••••• L•• (registered 2024-08-01)
Aug 1, 2024 · a•••••• firm change · fact
S•••• W••••• R••• left K•••••••• W••••• A•••••••• L•• for Owlfi (registered 2023-05-16)
May 15, 2023 · a•••••• firm change · fact
S•••• W••••• R••• left I••••••••• A••••• I••••••••• M••••••••• L•• for K•••••••• W••••• A•••••••• L•• (registered 2022-06-28)
Jun 27, 2022 · a•••••• firm change · fact

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: Independent wealth managerderived
Years in industry: 21derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address