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.
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Registered advisor
D••••• J•••• P•••••••
Chartered Financial Consultant
Feed of 09/14/2026
At current firm
3 y
since Jul 24, 2023
In the industry
39 y
since Aug 1, 1987 (earliest exam, job or registration)
Prior registered firms
9
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
4
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Jul 24, 2023 · Lake Oswego, Or
- C•••••• A••••••• BD affiliatedFeb 16, 2023 to Jun 5, 2023 · Lake Oswego, Or
- L•••••• I••••••••• independent RIAFeb 13, 2023 to Jun 5, 2023 · Lake Oswego, Or
- T•• A•••••••• I••• BD affiliatedDec 20, 2022 to Feb 1, 2023 · Lake Oswego, Or
- V••••••••• A••••••• S••••••• BD affiliatedOct 30, 2020 to Dec 31, 2022 · Vancouver, Wa
- K•• F•••••••• S•••••••• I•• formerFeb 4, 2008 to Oct 30, 2020 · Seattle, Wa
- N•• E•••••• S••••••••• C••••••••• formerDec 4, 2007 to Feb 12, 2008 · Oregon City, Or
- E•••••••• A•••••••• L•• national BDJun 1, 2005 to Dec 14, 2005 · Portland, Or
- M••• S••••••••• C••••••••• unclassifiedMay 24, 2004 to Jun 1, 2005 · Portland, Or
- P•••••••• S••••••••• I••• BD affiliatedMar 10, 2003 to Feb 9, 2004 · Portland, Or
Moves
a registration end followed by a registration begin elsewhere
- L•••••• I••••••••• to C•••••• A•••••••left Jun 5, 2023, registered Feb 16, 2023 (-109 days) · RIA to affiliated broker-dealer or bank
- C•••••• A••••••• to L•• F•••••••• L••left Jun 5, 2023, registered Jul 24, 2023 (49 days) · Affiliated broker-dealer or bank to another
- T•• A•••••••• I••• to L•••••• I•••••••••left Feb 1, 2023, registered Feb 13, 2023 (12 days) · Affiliated broker-dealer or bank to independent RIA
- V••••••••• A••••••• S••••••• to T•• A•••••••• I•••left Dec 31, 2022, registered Dec 20, 2022 (-11 days) · Affiliated broker-dealer or bank to another
- K•• F•••••••• S•••••••• I•• to V••••••••• A••••••• S•••••••left Oct 30, 2020, registered Oct 30, 2020 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
- N•• E•••••• S••••••••• C••••••••• to K•• F•••••••• S•••••••• I••left Feb 12, 2008, registered Feb 4, 2008 (-8 days) · Other
- E•••••••• A•••••••• L•• to N•• E•••••• S••••••••• C•••••••••left Dec 14, 2005, registered Dec 4, 2007 (720 days) · Other
- M••• S••••••••• C••••••••• to E•••••••• A•••••••• L••left Jun 1, 2005, registered Jun 1, 2005 (0 days) · corporate re-registration, not a move
- P•••••••• S••••••••• I••• to M••• S••••••••• C•••••••••left Feb 9, 2004, registered May 24, 2004 (105 days) · Other
Signals
- D••••• J•••• P••••••• left C•••••• A••••••• for L•• F•••••••• L•• (registered 2023-07-24)Jun 5, 2023 · Advisor changed firm · fact
- D••••• J•••• P••••••• left L•••••• I••••••••• for C•••••• A••••••• (registered 2023-02-16)Jun 5, 2023 · Advisor changed firm · fact
- D••••• J•••• P••••••• left T•• A•••••••• I••• for L•••••• I••••••••• (registered 2023-02-13)Feb 1, 2023 · Advisor changed firm · fact
- D••••• J•••• P••••••• left V••••••••• A••••••• S••••••• for T•• A•••••••• I••• (registered 2022-12-20)Dec 31, 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