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

P•••• W• N•••

J••• M••••• S••••••••• L••wirehouseAnaheim, Ca dual registrantIAPD 2154861

Feed of 09/15/2026

Also filed as Peggy W Chan

At current firm

13 y

since Oct 1, 2012

In the industry

35 y

since Jul 1, 1991 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

J••• M••••• S••••••••• L•• wirehouse current
since Oct 1, 2012 · Anaheim, Ca
C•••• I••••••••• S••••••• C•••• former
Jul 8, 2010 to Oct 1, 2012 · Pomona, Ca
R•• S••••••••• I••• BD affiliated
Apr 7, 2010 to Jun 28, 2010 · Los Angeles, Ca
E•••• N••••••• S••••••••• I••• former
Feb 10, 2007 to Mar 31, 2010 · Roling Hills Estate, Ca
W•••• F•••• I••••••••• L•• unclassified
May 15, 2001 to Dec 7, 2005 · Anaheim Hills, Ca

Moves

a registration end followed by a registration begin elsewhere

C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••
left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
R•• S••••••••• I••• to C•••• I••••••••• S••••••• C••••
left Jun 28, 2010, registered Jul 8, 2010 (10 days) · Other
E•••• N••••••• S••••••••• I••• to R•• S••••••••• I•••
left Mar 31, 2010, registered Apr 7, 2010 (7 days) · Other
W•••• F•••• I••••••••• L•• to E•••• N••••••• S••••••••• I•••
left Dec 7, 2005, registered Feb 10, 2007 (430 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: 35derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address