DFX 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
P••••••• A•••••
Chartered Financial Consultant
Feed of 09/15/2026
Also filed as P••••••• A•• A••••••••• A•• F••••••••• A• A••••••••• A••••••••• A• A•••••
At current firm
0 y
since Jan 9, 2026
In the industry
27 y
since Jul 12, 1999 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Jan 9, 2026 · Thousand Oaks, Ca
- L•• F•••••••• L•• BD affiliatedJul 6, 2022 to Jan 13, 2026 · Oxnard, Ca
- W•••• F•••• A••••••• wirehouseJul 7, 2014 to Jul 12, 2022 · Westlake Village, Ca
- O•••• W•••••• I••• BD affiliatedApr 7, 2009 to Jul 8, 2014 · Woodland Hills, Ca
- M•• F•••••••• S•••••••• I••• formerJul 26, 2004 to Mar 30, 2009 · Woodland Hills, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDAug 10, 1999 to Jul 19, 2004 · Westlake Village, Ca
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Jan 13, 2026, registered Jan 9, 2026 (-4 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to L•• F•••••••• L••left Jul 12, 2022, registered Jul 6, 2022 (-6 days) · Wirehouse to independent RIA · moved with a team
- O•••• W•••••• I••• to W•••• F•••• A•••••••left Jul 8, 2014, registered Jul 7, 2014 (-1 days) · Other
- M•• F•••••••• S•••••••• I••• to O•••• W•••••• I•••left Mar 30, 2009, registered Apr 7, 2009 (8 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to M•• F•••••••• S•••••••• I•••left Jul 19, 2004, registered Jul 26, 2004 (7 days) · Other
Signals
- ••• LockedJan 13, 2026 · Advisor changed firm · fact
- ••• LockedJul 12, 2022 · Advisor changed firm · fact
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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address