DFX Intelligence
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Registered advisor
P•••••• J••••• L••••
Feed of 09/14/2026
Also filed as Pat L••••
At current firm
4 y
since Mar 4, 2022
In the industry
39 y
since Mar 5, 1987 (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, S65
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••••••• W••••• A••••••• BD affiliated currentsince Mar 4, 2022 · San Antonio, Tx
- S••••••••• A•••••• A•••••••• I••• formerJul 17, 2020 to Mar 4, 2022 · San Antonio, Tx
- I••••••••• A••••••• S••••••• I•• formerAug 1, 2006 to Jul 17, 2020 · San Antonio, Tx
- O•••• F•• I••• formerNov 17, 2003 to Aug 2, 2006 · San Antonio, Tx
- V••••••• I••••••••• A•••••••• I••• unclassifiedSep 11, 1998 to Nov 21, 2003 · San Antonio, Tx
Moves
a registration end followed by a registration begin elsewhere
- S••••••••• A•••••• A•••••••• I••• to A••••••• W••••• A•••••••left Mar 4, 2022, registered Mar 4, 2022 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
- I••••••••• A••••••• S••••••• I•• to S••••••••• A•••••• A•••••••• I•••left Jul 17, 2020, registered Jul 17, 2020 (0 days) · corporate re-registration, not a move
- O•••• F•• I••• to I••••••••• A••••••• S••••••• I••left Aug 2, 2006, registered Aug 1, 2006 (-1 days) · Other
- V••••••• I••••••••• A•••••••• I••• to O•••• F•• I•••left Nov 21, 2003, registered Nov 17, 2003 (-4 days) · Other
Signals
- P•••••• J••••• L•••• left S••••••••• A•••••• A•••••••• I••• for A••••••• W••••• A••••••• (registered 2022-03-04)Mar 4, 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
- 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