DFX Intelligence
RIA 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
D•••• L••• P•••••
Certified Financial Planner
Feed of 09/15/2026
Also filed as D•••• L••• P•••••
At current firm
1 y
since Nov 12, 2024
In the industry
33 y
since May 1, 1993 (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
n/a
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Nov 12, 2024 · San Diego, Ca
- O•••• W•••••• I••• BD affiliatedJun 14, 2024 to Jan 1, 2025 · Cleveland, Ms
- S••••••••• A•••••• A•••••••• I••• formerJul 17, 2020 to Jun 14, 2024 · Winona, Ms
- I••••••••• A••••••• S••••••• I•• formerJul 9, 2014 to Jul 17, 2020 · Cleveland, Ms
- B•••••••• B•••••• • P••••• F•••••••• G••••• P••• unclassifiedFeb 10, 2003 to Sep 10, 2014 · Cleveland, Ms
Moves
a registration end followed by a registration begin elsewhere
- O•••• W•••••• I••• to L•• F•••••••• L••left Jan 1, 2025, registered Nov 12, 2024 (-50 days) · Affiliated broker-dealer or bank to another
- S••••••••• A•••••• A•••••••• I••• to O•••• W•••••• I•••left Jun 14, 2024, registered Jun 14, 2024 (0 days) · corporate re-registration, not a move
- 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
- B•••••••• B•••••• • P••••• F•••••••• G••••• P••• to I••••••••• A••••••• S••••••• I••left Sep 10, 2014, registered Jul 9, 2014 (-63 days) · Other
Signals
- D•••• L••• P••••• left O•••• W•••••• I••• for L•• F•••••••• L•• (registered 2024-11-12)Jan 1, 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
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address