DFX Intelligence
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Feed of 09/15/2026
Also filed as A••• E• O••••
At current firm
3 y
since May 8, 2023
In the industry
20 y
since Aug 11, 2006 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, 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
- W•••• F•••• A••••••• wirehouse currentsince May 8, 2023 · Vernal, Ut
- F••••••• P••••••• A•• W•••••••• A••••••• formerOct 19, 2022 to Apr 12, 2023 · Salt Lake City, Ut
- W•••• F•••• A••••••• wirehouseMar 3, 2015 to Sep 14, 2022 · Salt Lake City, Ut
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to W•••• F•••• A•••••••left Apr 12, 2023, registered May 8, 2023 (26 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- W•••• F•••• A••••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Sep 14, 2022, registered Oct 19, 2022 (35 days) · Wirehouse to affiliated broker-dealer or bank
Signals
- ••• LockedApr 12, 2023 · Advisor changed firm · fact
- ••• LockedSep 14, 2022 · Advisor changed firm · fact
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
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