DFX Intelligence
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Registered advisor
P••• B••••• L••••••
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••wirehouseMercer Island, Wa dual registrantIAPD 1681974
Feed of 09/15/2026
At current firm
20 y
since Aug 9, 2006
In the industry
39 y
since Jul 29, 1987 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
7
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
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Aug 9, 2006 · Milwaukee, Wi
- M••••• S•••••• D• I••• unclassifiedMar 29, 2001 to Jun 6, 2006 · Beachwood, Oh
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• D• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 6, 2006, registered Aug 9, 2006 (64 days) · Other
Signals
No dated event on this person.
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
- Wirehousederived
- Years in industry
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address