DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

Registered advisor

C••••••••• B•••• R••••

V••••••• A•••••••• I•••BD affiliatedScottsdale, Azdual registrantIAPD 7648077

Feed of 09/14/2026

Also filed as C••••••••• B•••• R••••

At current firm

0 y

since May 19, 2026

In the industry

12 y

since Aug 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, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

V••••••• A•••••••• I••• BD affiliated current
since May 19, 2026 · Scottsdale, Az
M••••• S•••••• wirehouse
Aug 20, 2025 to Apr 27, 2026 · Tempe, Az
S•••••••• A••••••• L•• national BD
Mar 31, 2025 to Jun 12, 2025 · Ogden, Ut
F••••••• P••••••• A•• W•••••••• A••••••• former
Mar 26, 2024 to Mar 31, 2025 · Salt Lake City, Ut

Moves

a registration end followed by a registration begin elsewhere

M••••• S•••••• to V••••••• A•••••••• I•••
left Apr 27, 2026, registered May 19, 2026 (22 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
S•••••••• A••••••• L•• to M••••• S••••••
left Jun 12, 2025, registered Aug 20, 2025 (69 days) · Affiliated broker-dealer or bank to wirehouse
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

Signals

C••••••••• B•••• R•••• left M••••• S•••••• for V••••••• A•••••••• I••• (registered 2026-05-19)
Apr 27, 2026 · Advisor changed firm · fact
C••••••••• B•••• R•••• left S•••••••• A••••••• L•• for M••••• S•••••• (registered 2025-08-20)
Jun 12, 2025 · 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: 12derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address