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

K•••••• A•••••••

E•••••• A••••••• G••••• L••BD affiliatedSalt Lake City, Ut dual registrantIAPD 5428037

Feed of 09/15/2026

At current firm

0 y

since Dec 16, 2025

In the industry

18 y

since Apr 18, 2008 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

E•••••• A••••••• G••••• L•• BD affiliated current
since Dec 16, 2025 · Greenwood Village, Co
M••••• S•••••• wirehouse
Sep 5, 2023 to Mar 12, 2025 · Sandy, Ut
E•••••• C•••••• M••••••••• L•• former
Feb 25, 2022 to Sep 5, 2023 · Arlington, Va
M••••• S•••••• wirehouse
Dec 14, 2010 to Nov 1, 2012 · South Jordan, Ut
A••••••••• F•••••••• S•••••••• L•• national BD
Apr 18, 2008 to Apr 27, 2009 · Midvale, Ut

Moves

a registration end followed by a registration begin elsewhere

M••••• S•••••• to E•••••• A••••••• G••••• L••
left Mar 12, 2025, registered Dec 16, 2025 (279 days) · Wirehouse to affiliated broker-dealer or bank
E•••••• C•••••• M••••••••• L•• to M••••• S••••••
left Sep 5, 2023, registered Sep 5, 2023 (0 days) · corporate re-registration, not a move
M••••• S•••••• to E•••••• C•••••• M••••••••• L••
left Nov 1, 2012, registered Feb 25, 2022 (3403 days) · Wirehouse to independent RIA
A••••••••• F•••••••• S•••••••• L•• to M••••• S••••••
left Apr 27, 2009, registered Dec 14, 2010 (596 days) · Affiliated broker-dealer or bank to wirehouse

Signals

K•••••• A••••••• left M••••• S•••••• for E•••••• A••••••• G••••• L•• (registered 2025-12-16)
Mar 12, 2025 · 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: Broker-dealer affiliated wealth managerderived
Years in industry: 18derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address