DFX Intelligence
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Feed of 09/14/2026
Also filed as J••••• D•••• B••••••••• B••••••
At current firm
0 y
since Feb 17, 2026
In the industry
20 y
since Feb 27, 2006 (earliest exam, job or registration)
Prior registered firms
9
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- M••••• S•••••• wirehouse currentsince Feb 17, 2026 · South Jordan, Ut
- L•• E••••••••• L•• BD affiliatedMay 12, 2025 to Jun 12, 2025 · Vernal, Ut
- L•• E••••••••• L•• BD affiliatedOct 3, 2024 to May 7, 2025 · Vernal, Ut
- O•••• W•••••• I••• BD affiliatedSep 1, 2023 to Sep 27, 2024 · Scottsdale, Az
- S•••••••• F••••••••• I••• formerJul 14, 2022 to Sep 1, 2023 · Scottsdale, Az
- W•••• F•••• A••••••• wirehouseMar 31, 2016 to Apr 13, 2020 · Minneapolis, Mn
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Aug 18, 2015 · Salt Lake City, Ut
- W•••• F•••• I••••••••• L•• unclassifiedDec 6, 2010 to Jan 3, 2011 · Salt Lake City, Ut
- W•••• F•••• I••••••••• L•• unclassifiedJul 20, 2007 to May 11, 2010 · Vernal, Ut
- W•••• F•••• I••••••••• L•• unclassifiedMar 3, 2006 to Apr 2, 2007 · Salt Lake City, Ut
Moves
a registration end followed by a registration begin elsewhere
- L•• E••••••••• L•• to M••••• S••••••left Jun 12, 2025, registered Feb 17, 2026 (250 days) · Affiliated broker-dealer or bank to wirehouse
- O•••• W•••••• I••• to L•• E••••••••• L••left Sep 27, 2024, registered Oct 3, 2024 (6 days) · Affiliated broker-dealer or bank to a newly registered adviser
- S•••••••• F••••••••• I••• to O•••• W•••••• I•••left Sep 1, 2023, registered Sep 1, 2023 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to S•••••••• F••••••••• I•••left Apr 13, 2020, registered Jul 14, 2022 (822 days) · Wirehouse to affiliated broker-dealer or bank
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
Signals
- J••••• D• B•••••• left L•• E••••••••• L•• for M••••• S•••••• (registered 2026-02-17)Jun 12, 2025 · Advisor changed firm · fact
- J••••• D• B•••••• left O•••• W•••••• I••• for L•• E••••••••• L•• (registered 2024-10-03)Sep 27, 2024 · Advisor changed firm · 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
- Wirehousederived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address