DFX Intelligence
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Feed of 09/14/2026
Also filed as M••• S•••••• M••••••••• M••••••
At current firm
0 y
since Apr 13, 2026
In the industry
14 y
since Jan 17, 2012 (earliest exam, job or registration)
Prior registered firms
4
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
- M••••• S•••••• wirehouse currentsince Apr 13, 2026 · Sandy, Ut
- S•••••••• A••••••• L•• national BDMar 31, 2025 to Mar 5, 2026 · Salt Lake City, Ut
- F••••••• P••••••• A•• W•••••••• A••••••• formerDec 15, 2023 to Mar 31, 2025 · Salt Lake City, Ut
- M••••• S•••••• wirehouseJan 11, 2023 to Aug 14, 2023 · Sandy, Ut
- E•••••• C•••••• M••••••••• L•• formerJul 6, 2015 to Aug 14, 2023 · Sandy, Ut
Moves
a registration end followed by a registration begin elsewhere
- S•••••••• A••••••• L•• to M••••• S••••••left Mar 5, 2026, registered Apr 13, 2026 (39 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- M••••• S•••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Aug 14, 2023, registered Dec 15, 2023 (123 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- E•••••• C•••••• M••••••••• L•• to M••••• S••••••left Aug 14, 2023, registered Jan 11, 2023 (-215 days) · channel change inside one enterprise, not a move · moved with a team
Signals
- ••• LockedMar 5, 2026 · Advisor changed firm · fact
- ••• LockedAug 14, 2023 · 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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address