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10876 S River Front Pkwy Suite 600, South Jordan, UT 84095 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-12-11 |
Branch Locations
10876 S River Front Pkwy Suite 600, South Jordan, UT 84095 • United States
3205 Violet Ridge, Encinitas, CA 92024 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Dfpg Investments, Inc | South Jordan | UT | 05/2011 | Present |
| Cedar Crest Advisors, Llc | South Jordan | UT | 04/2015 | 04/2018 |
1) ALTERNATIVE AND DIRECT INVESTMENT SECURITIES ASSOCIATION | 10401 NORTH MERIDIAN ST, SUITE 202 INDIANAPOLIS, IN 46290 | SECURITIES RELATED | BOARD OF DIRECTORS | BEGIN DATE: 01/2012 | DURING TRADING HRS/MONTH: 5% 2) Raven 23 CAPITAL,LLC |NON-INVESTMENT RELATED | MEMBER/MANAGER | BEGIN DATE: 01/2023 | DURING TRADING HRS/MONTH: 0% |Private Investment| 3) CREEK 34 CAPITAL, LLC | NON-INVESTMENT RELATED| MANAGER |BEGIN DATE: 6/2017| DURING TRADING HRS/MONTH: 2% | ADMIN WORK| 4) CREEK CAPITAL DENTAL HOLDINGS| NON-INVESTMENT RELATED| BOARD OF DIRECTORS| BEGIN DATE: 6/2017| BOARD MEETINGS/ADMIN WORK| 5) ADVISORY BOARD FOR REAL ASSETS ADVISOR; NON-INVESTMENT RELATED; BOARD MEETINGS; INDUSTRY PUBLICATION; ADVISORY BOARD MEMBER; 07/2019; 1% DURING BUSINESS HOURS; ONCE A YEAR MEETING WITH OTHER BOARD MEMBERS TO DISCUSS CONTENT FOR THE FOLLOWING 12 MONTHS. POSSIBLE FOLLOW UP PHONE CALLS 2-3 TIMES/YEAR. 6) Springwood Capital; Non-Investment Related; 903 Springwood Lane, Encinitas, CA 92024; Holding Company; Sole owner; 09/2019; 0% during business hours; Holding company for personal percentage of ownership of DFPG. Annual tax preparation and entity maintenance. 7) Tweed River, LLC.; Investment Related; Encinitas, California; Holding Company; Passive Investor; 2/2020; 0% during business hours; Tweed River is an LLC in which I am a member. It is an OBA which makes passive investments and my role is simply as a member of the LLC with no active involvement. 8) Rise Up Industries; Non-investment related; via Zoom; Non-profit; Consultant; 04/2022; 1% during business hours; Consulting to the board of directors of a 501(c)3 charity for matters related to its financing, investments and fundraising events. 9) Barbara Lawrie Irrevocable Trust. Investment-related: No. Trust for family member; acting as Fiduciary Capacity. 2/2026. 2% during business hours. 10) Donald and Elizabeth Bendix Living Trust.Investment related: No. 1/2026. Revocable Trust for family member. Acting as a Fiduciary Capacity. 2% during business hours
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2015-08-14 |
| S63 | Uniform Securities Agent State Law Examination | 2008-07-03 |
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