DFX Intelligence
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Registered advisor
A••••• D• G••••••
Feed of 09/14/2026
Also filed as A••••• D•••• G••••••
At current firm
1 y
since Mar 31, 2025
In the industry
14 y
since Feb 1, 2012 (earliest exam, job or registration)
Prior registered firms
5
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Millcreek, Ut
- F••••••• P••••••• A•• W•••••••• A••••••• formerFeb 7, 2024 to Mar 31, 2025 · Salt Lake City, Ut
- M••••• S•••••• wirehouseJan 11, 2023 to Jan 19, 2024 · Sandy, Ut
- E•••••• C•••••• M••••••••• L•• formerFeb 5, 2019 to Sep 5, 2023 · Sandy, Ut
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Feb 1, 2019 · Boston, Ma
- S•••••••• A••••••• L•• national BDDec 8, 2014 to Jul 13, 2018 · Salt Lake City, Ut
Moves
a registration end followed by a registration begin elsewhere
- 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 Jan 19, 2024, registered Feb 7, 2024 (19 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- E•••••• C•••••• M••••••••• L•• to M••••• S••••••left Sep 5, 2023, registered Jan 11, 2023 (-237 days) · corporate re-registration, not a move
- F••••••• P••••••• A•• W•••••••• A••••••• to E•••••• C•••••• M••••••••• L••left Feb 1, 2019, registered Feb 5, 2019 (4 days) · Affiliated broker-dealer or bank to independent RIA
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
Signals
- A••••• D• G•••••• left M••••• S•••••• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2024-02-07)Jan 19, 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
- National broker-dealer RIAderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address