DFX Intelligence
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Registered advisor
L••• P• B••••
Feed of 09/14/2026
Also filed as L••• P•••• B••••••••• B•••• T••••••••• T••••••••• B•••• S••••••••• S••••••••• B••••
At current firm
0 y
since Feb 13, 2026
In the industry
38 y
since Feb 29, 1988 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- U••• B•••••• A•••••••• L•• BD affiliated currentsince Feb 13, 2026 · Louisville, Ky
- U••• B•••••• I••••••••• I••• formerAug 31, 2012 to Feb 13, 2026 · Louisville, Ky
- P•• W••••• M••••••••• BD affiliatedJan 1, 2004 to Sep 7, 2012 · Louisville, Ky
- J••••• H•••••••• W••• L••••• L•• formerJun 6, 2003 to Jan 1, 2004 · Louisville, Ky
Moves
a registration end followed by a registration begin elsewhere
- U••• B•••••• I••••••••• I••• to U••• B•••••• A•••••••• L••left Feb 13, 2026, registered Feb 13, 2026 (0 days) · corporate re-registration, not a move
- P•• W••••• M••••••••• to U••• B•••••• I••••••••• I•••left Sep 7, 2012, registered Aug 31, 2012 (-7 days) · Other
- J••••• H•••••••• W••• L••••• L•• to P•• W••••• M•••••••••left Jan 1, 2004, registered Jan 1, 2004 (0 days) · corporate re-registration, not a move
Signals
No dated event on this person.
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address