DFX Intelligence
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Registered advisor
R••••• L• P•••••
Feed of 09/14/2026
Also filed as B•• P•••••
At current firm
13 y
since May 17, 2013
In the industry
33 y
since Jul 20, 1993 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince May 17, 2013 · Tempe, Az
- M••••• O• O•••• I••••••• S•••••••• I••• independent RIASep 4, 2007 to May 13, 2013 · Yuma, Az
Moves
a registration end followed by a registration begin elsewhere
- M••••• O• O•••• I••••••• S•••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left May 13, 2013, registered May 17, 2013 (4 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address