DFX Intelligence
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Registered advisor
T••••• T•••••
Feed of 09/15/2026
Also filed as T••••• L• T••••••••• L•••• T••••••••• T•••••
At current firm
6 y
since Dec 17, 2019
In the industry
13 y
since Feb 1, 2013 (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
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
- C•••••• S••••• • C••• I••• national BD currentsince Dec 17, 2019 · Cottonwood Heights, Ut
- T• A••••••••• I••••••••• M••••••••• L•• formerMay 30, 2018 to Nov 22, 2019 · Midvale, Ut
- T• A••••••••• I••• formerMay 30, 2018 to Nov 22, 2019 · Cottonwood Heights, Ut
- M••••• S•••••• wirehouseSep 6, 2017 to Apr 30, 2018 · Holladay, Ut
- T• A••••••••• I••••••••• M••••••••• L•• formerDec 15, 2016 to Jun 21, 2017 · Draper, Ut
- T• A••••••••• I••• formerDec 15, 2016 to Jun 21, 2017 · Draper, Ut
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Nov 22, 2019, registered Dec 17, 2019 (25 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Nov 22, 2019, registered May 30, 2018 (-541 days) · channel change inside one enterprise, not a move
- M••••• S•••••• to T• A••••••••• I••••••••• M••••••••• L••left Apr 30, 2018, registered May 30, 2018 (30 days) · Wirehouse to independent RIA
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Jun 21, 2017, registered Dec 15, 2016 (-188 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Jun 21, 2017, registered Dec 15, 2016 (-188 days) · Other · moved with a team
Signals
No dated event on this person.
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address