DFX Intelligence
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Registered advisor
P•••• G•••••••• H•••••
Feed of 09/14/2026
At current firm
1 y
since Mar 24, 2025
In the industry
39 y
since Nov 25, 1986 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- L•• E••••••••• L•• BD affiliated currentsince Mar 24, 2025 · Cincinnati, Oh
- L•• E••••••••• L•• BD affiliatedNov 14, 2024 to Feb 13, 2025 · Cincinnati, Oh
- P•••• S••••••••• L•• no RAUMJun 15, 2018 to Nov 14, 2024 · Cincinnati, Oh
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 11, 2000 to Nov 25, 2016 · Cincinnati, Oh
Moves
a registration end followed by a registration begin elsewhere
- P•••• S••••••••• L•• to L•• E••••••••• L••left Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to P•••• S••••••••• L••left Nov 25, 2016, registered Jun 15, 2018 (567 days) · Wirehouse to affiliated broker-dealer or bank
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address