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
R••••• P•••••• L••••
Certified Financial Planner · Chartered Financial Consultant
Feed of 09/14/2026
At current firm
7 y
since Jun 19, 2019
In the industry
35 y
since Nov 3, 1990 (earliest exam, job or registration)
Prior registered firms
2
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
- M•• P••••••••• I•• state registered currentsince Jun 19, 2019 · Darien, Ct
- L•• F•••••••• L•• BD affiliatedApr 22, 2002 to Aug 4, 2009 · Chevy Chase, Md
- U•• F•••••••• S••••••• I••• wirehouseJun 22, 1995 to May 7, 2002 · Bethesda, Md
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to M•• P••••••••• I••left Aug 4, 2009, registered Jun 19, 2019 (3606 days) · Other
- U•• F•••••••• S••••••• I••• to L•• F•••••••• L••left May 7, 2002, registered Apr 22, 2002 (-15 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
- STATE REGISTEREDderived
- Years in industry
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address