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••••••• G•••• W•••••

M•• I•••••••• S•••••••• L••BD affiliatedNorth Logan, Ut dual registrantIAPD 4961527

Certified Financial Planner

Feed of 09/15/2026

Also filed as S••••••• W•••••

At current firm

12 y

since Mar 24, 2014

In the industry

21 y

since Aug 18, 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

M•• I•••••••• S•••••••• L•• BD affiliated current
since Mar 24, 2014 · North Logan, Ut
H•••••• T••••••• • K•••• L•• independent RIA
Nov 30, 2010 to Jan 30, 2014 · Nibley, Ut
O••••••••• S••••••••• I••• BD affiliated
Oct 12, 2009 to Nov 29, 2010 · Nampa, Id
I••••••• S••••••••• I••• unclassified
Oct 3, 2007 to Oct 2, 2009 · Boise, Id
A•••••• A•••••••• I••• unclassified
Jan 29, 2007 to Oct 3, 2007 · Salt Lake City, Ut

Moves

a registration end followed by a registration begin elsewhere

H•••••• T••••••• • K•••• L•• to M•• I•••••••• S•••••••• L••
left Jan 30, 2014, registered Mar 24, 2014 (53 days) · Other
O••••••••• S••••••••• I••• to H•••••• T••••••• • K•••• L••
left Nov 29, 2010, registered Nov 30, 2010 (1 days) · Other
I••••••• S••••••••• I••• to O••••••••• S••••••••• I•••
left Oct 2, 2009, registered Oct 12, 2009 (10 days) · Other
A•••••• A•••••••• I••• to I••••••• S••••••••• I•••
left Oct 3, 2007, registered Oct 3, 2007 (0 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: 21derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address