DFX Intelligence
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Registered advisor
P••• L•••••• H•••
Feed of 09/14/2026
At current firm
4 y
since Apr 26, 2022
In the industry
41 y
since Nov 27, 1984 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Apr 26, 2022 · Winter Park, Fl
- R•••••• J•••• • A••••••••• I••• national BDMar 3, 2011 to May 3, 2022 · Orlando, Fl
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedApr 14, 2009 to Mar 1, 2011 · Orlando, Fl
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedMay 23, 2008 to Oct 10, 2009 · Elizabethtown, Pa
- R•••••• J•••• • A••••••••• I••• national BDJun 4, 1996 to May 25, 2007 · Orlando, Fl
Moves
a registration end followed by a registration begin elsewhere
- R•••••• J•••• • A••••••••• I••• to A••••••••• F•••••••• S•••••••• L••left May 3, 2022, registered Apr 26, 2022 (-7 days) · Affiliated broker-dealer or bank to another
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to R•••••• J•••• • A••••••••• I•••left Mar 1, 2011, registered Mar 3, 2011 (2 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Oct 10, 2009, registered Apr 14, 2009 (-179 days) · corporate re-registration, not a move
- R•••••• J•••• • A••••••••• I••• to R•••••• J•••• F•••••••• S•••••••• I•••left May 25, 2007, registered May 23, 2008 (364 days) · Other
Signals
- ••• LockedMay 3, 2022 · 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
- National broker-dealer RIAderived
- Years in industry
- 41derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address