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.

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Registered advisor

R••••• M•••••

S••• W••••• L••BD affiliatedCottonwood Heights, Ut dual registrantIAPD 6186629

Feed of 09/14/2026

Also filed as R••••• James M•••••

At current firm

0 y

since Sep 29, 2025

In the industry

13 y

since May 1, 2013 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

S••• W••••• L•• BD affiliated current
since Sep 29, 2025 · Cottonwood Heights, Ut
M••••• S•••••• wirehouse
Nov 8, 2023 to Jun 12, 2025 · Sandy, Ut
W•••• F•••• A••••••• wirehouse
Apr 24, 2023 to Nov 8, 2023 · Salt Lake City, Ut
E•••••• C•••••• M••••••••• L•• former
Jul 3, 2014 to Oct 13, 2020 · Arlington, Va

Moves

a registration end followed by a registration begin elsewhere

M••••• S•••••• to S••• W••••• L••
left Jun 12, 2025, registered Sep 29, 2025 (109 days) · Wirehouse to affiliated broker-dealer or bank
W•••• F•••• A••••••• to M••••• S••••••
left Nov 8, 2023, registered Nov 8, 2023 (0 days) · Wirehouse to wirehouse
E•••••• C•••••• M••••••••• L•• to W•••• F•••• A•••••••
left Oct 13, 2020, registered Apr 24, 2023 (923 days) · RIA to wirehouse

Signals

R••••• M••••• left M••••• S•••••• for S••• W••••• L•• (registered 2025-09-29)
Jun 12, 2025 · Advisor changed firm · fact
R••••• M••••• left W•••• F•••• A••••••• for M••••• S•••••• (registered 2023-11-08)
Nov 8, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 13derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address