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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Registered advisor

C•••••• C•••••••••

L•• F•••••••• L••BD affiliatedSouth Salt Lake, Utdual registrantIAPD 7038042

Feed of 09/14/2026

Also filed as Charlie Spencer C•••••••••

At current firm

0 y

since Jun 1, 2026

In the industry

11 y

since Oct 1, 2014 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

L•• F•••••••• L•• BD affiliated current
since Jun 1, 2026 · South Salt Lake, Ut
E•••••• A••••••• G••••• L•• BD affiliated
Jan 27, 2023 to May 22, 2026 · Anchorage, Ak
L•• F•••••••• L•• BD affiliated
May 18, 2022 to Jan 25, 2023 · Anchorage, Ak
C••• B•••••••• S•••••••• I••• former
Nov 29, 2021 to May 18, 2022 · Anchorage, Ak
L•• F•••••••• L•• BD affiliated
Nov 14, 2019 to Nov 18, 2021 · West Jordan, Ut

Moves

a registration end followed by a registration begin elsewhere

E•••••• A••••••• G••••• L•• to L•• F•••••••• L••
left May 22, 2026, registered Jun 1, 2026 (10 days) · Affiliated broker-dealer or bank to another
L•• F•••••••• L•• to E•••••• A••••••• G••••• L••
left Jan 25, 2023, registered Jan 27, 2023 (2 days) · RIA to affiliated broker-dealer or bank
C••• B•••••••• S•••••••• I••• to L•• F•••••••• L••
left May 18, 2022, registered May 18, 2022 (0 days) · corporate re-registration, not a move
L•• F•••••••• L•• to C••• B•••••••• S•••••••• I•••
left Nov 18, 2021, registered Nov 29, 2021 (11 days) · Affiliated broker-dealer or bank to another

Signals

C•••••• C••••••••• left E•••••• A••••••• G••••• L•• for L•• F•••••••• L•• (registered 2026-06-01)
May 22, 2026 · Advisor changed firm · fact
C•••••• C••••••••• left L•• F•••••••• L•• for E•••••• A••••••• G••••• L•• (registered 2023-01-27)
Jan 25, 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: 11derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address