DFX 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
B•••• P•••••• A••••••
Feed of 09/15/2026
Also filed as B•••• P• A••••••
At current firm
18 y
since Dec 7, 2007
In the industry
34 y
since Sep 10, 1992 (earliest exam, job or registration)
Prior registered firms
3
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
- L•• F•••••••• L•• BD affiliated currentsince Dec 7, 2007 · Elon, Nc
- S••••••• I••••••••• S•••••••• I••• formerJan 3, 2005 to Nov 15, 2007 · Burlington, Nc
- N•• F•••••••• S•••••••• I••• unclassifiedSep 30, 2002 to Jan 3, 2005 · Burlington, Nc
- I••••• F•••••••• C••••••••• formerDec 31, 2000 to Sep 30, 2002 · Burlington, Nc
Moves
a registration end followed by a registration begin elsewhere
- S••••••• I••••••••• S•••••••• I••• to L•• F•••••••• L••left Nov 15, 2007, registered Dec 7, 2007 (22 days) · Other
- N•• F•••••••• S•••••••• I••• to S••••••• I••••••••• S•••••••• I•••left Jan 3, 2005, registered Jan 3, 2005 (0 days) · corporate re-registration, not a move
- I••••• F•••••••• C••••••••• to N•• F•••••••• S•••••••• I•••left Sep 30, 2002, registered Sep 30, 2002 (0 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
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