DFX Intelligence
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Registered advisor
B•••• P••••• L••
Feed of 09/14/2026
Also filed as B•••• P• L••
At current firm
3 y
since Oct 21, 2022
In the industry
34 y
since Sep 16, 1992 (earliest exam, job or registration)
Prior registered firms
4
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- U•• F•••••••• S••••••• I••• wirehouse currentsince Oct 21, 2022 · Danville, Ca
- W•••• F•••• A••••••• wirehouseAug 29, 2014 to Oct 28, 2022 · San Francisco, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 30, 2008 to Sep 26, 2014 · San Francisco, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedApr 26, 2005 to Nov 12, 2008 · Moraga, Ca
- M••••• S•••••• D• I••• unclassifiedApr 21, 2000 to Apr 25, 2005 · San Francisc, Ca
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to U•• F•••••••• S••••••• I•••left Oct 28, 2022, registered Oct 21, 2022 (-7 days) · Wirehouse to wirehouse · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Sep 26, 2014, registered Aug 29, 2014 (-28 days) · Wirehouse to wirehouse
- C•••••••• G••••• M•••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 12, 2008, registered Oct 30, 2008 (-13 days) · Other
- M••••• S•••••• D• I••• to C•••••••• G••••• M•••••• I•••left Apr 25, 2005, registered Apr 26, 2005 (1 days) · Other
Signals
- ••• LockedOct 28, 2022 · Advisor changed firm · fact
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
- Wirehousederived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address