DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Registered advisor

P••••••• E•••• S••••

J••••• M••••••••• S•••• L••BD affiliatedBoca Raton, Fldual registrantIAPD 1615752

Certified Financial Planner

Feed of 09/14/2026

Also filed as P••••••• E•••• Seligman

At current firm

0 y

since Oct 23, 2025

In the industry

37 y

since Sep 22, 1988 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

J••••• M••••••••• S•••• L•• BD affiliated current
since Oct 23, 2025 · Boca Raton, Fl
M••••• S•••••• wirehouse
Aug 16, 2010 to Nov 11, 2025 · Boca Raton, Fl
W•••• F•••• A••••••• wirehouse
Jul 1, 2003 to Aug 2, 2010 · Boca Raton, Fl
P••••••••• E••••• G••••• L•• unclassified
Dec 11, 1997 to Jul 1, 2003 · Boca Raton, Fl

Moves

a registration end followed by a registration begin elsewhere

M••••• S•••••• to J••••• M••••••••• S•••• L••
left Nov 11, 2025, registered Oct 23, 2025 (-19 days) · Wirehouse to affiliated broker-dealer or bank
W•••• F•••• A••••••• to M••••• S••••••
left Aug 2, 2010, registered Aug 16, 2010 (14 days) · Wirehouse to wirehouse
P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••
left Jul 1, 2003, registered Jul 1, 2003 (0 days) · corporate re-registration, not a move

Signals

P••••••• E•••• S•••• left M••••• S•••••• for J••••• M••••••••• S•••• L•• (registered 2025-10-23)
Nov 11, 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: 37derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address