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.

Registered advisor

Joseph Panfil

LPL Enterprise, LLCBD affiliatedBrighton, Mi dual registrantIAPD 2198861

Feed of 09/15/2026

Also filed as Joseph W Panfil

At current firm

1 y

since Jan 1, 2025

In the industry

34 y

since Feb 11, 1992 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

LPL Enterprise, LLC BD affiliated current
since Jan 1, 2025 · Brighton, Mi
Pruco Securities, LLC no RAUM
Jun 28, 2024 to Nov 14, 2024 · Troy, Mi
LPL Financial LLC BD affiliated
Feb 14, 2018 to Jun 24, 2024 · Brighton, Mi
Blue Water Asset Management independent RIA
Oct 20, 2015 to Mar 23, 2018 · Brighton, Mi
Invest Financial Corporation former
Mar 24, 2011 to Feb 14, 2018 · Brighton, Mi
Cg Advisory Services independent RIA
Feb 24, 2011 to Jan 26, 2016 · Brighton, Mi

Moves

a registration end followed by a registration begin elsewhere

Pruco Securities, LLC to LPL Enterprise, LLC
left Nov 14, 2024, registered Jan 1, 2025 (48 days) · corporate re-registration, not a move
LPL Financial LLC to Pruco Securities, LLC
left Jun 24, 2024, registered Jun 28, 2024 (4 days) · Affiliated broker-dealer or bank to another · moved with a team
Blue Water Asset Management to LPL Financial LLC
left Mar 23, 2018, registered Feb 14, 2018 (-37 days) · RIA to RIA
Invest Financial Corporation to Blue Water Asset Management
left Feb 14, 2018, registered Oct 20, 2015 (-848 days) · Other · moved with a team
Cg Advisory Services to Invest Financial Corporation
left Jan 26, 2016, registered Mar 24, 2011 (-1769 days) · Other

Signals

Joseph Panfil left Lpl Financial Llc for Pruco Securities, Llc (registered 2024-06-28)
Jun 24, 2024 · 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: 34derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address