DFX Intelligence
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Feed of 09/14/2026
Also filed as T••••• P•••••••
At current firm
8 y
since Jan 9, 2018
In the industry
16 y
since Dec 11, 2009 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- F••••• I••••••••• independent RIA currentsince Jan 9, 2018 · Plano, Tx
- S•••••••• A••••••• L•• national BDJul 30, 2012 to Jan 20, 2018 · Salt Lake City, Ut
- E••••• J•••• national BDDec 16, 2009 to Jul 10, 2012 · Draper, Ut
Moves
a registration end followed by a registration begin elsewhere
- S•••••••• A••••••• L•• to F••••• I•••••••••left Jan 20, 2018, registered Jan 9, 2018 (-11 days) · Other
- E••••• J•••• to S•••••••• A••••••• L••left Jul 10, 2012, registered Jul 30, 2012 (20 days) · Affiliated broker-dealer or bank to another
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Independent wealth managerderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address