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
Paul Anthony Dickens
Feed of 09/14/2026
At current firm
1 y
since Nov 14, 2024
In the industry
22 y
since Aug 13, 2004 (earliest exam, job or registration)
Prior registered firms
8
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- LPL Enterprise, LLC BD affiliated currentsince Nov 14, 2024 · Houston, Tx
- Pruco Securities, LLC no RAUMMay 3, 2022 to Nov 14, 2024 · Houston, Tx
- Park Avenue Securities LLC BD affiliatedSep 28, 2017 to May 16, 2022 · Houston, Tx
- Sovereign Wealth Advisors LLC independent RIAJul 30, 2015 to Nov 20, 2017 · Houston, Tx
- Edward Jones national BDDec 3, 2012 to Jun 11, 2015 · Houston, Tx
- Ameriprise Financial Services, LLC national BDJun 30, 2010 to Dec 6, 2012 · Sugar Land, Tx
- Equitable Advisors, LLC national BDAug 11, 2009 to Jun 24, 2010 · Houston, Tx
- Brighton Presidio Capital Management unclassifiedFeb 6, 2006 to Dec 31, 2006 · Houston, Tx
- Ameriprise Financial Services, LLC national BDAug 13, 2004 to Sep 27, 2005 · Houston, Tx
Moves
a registration end followed by a registration begin elsewhere
- Pruco Securities, LLC to LPL Enterprise, LLCleft Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
- Park Avenue Securities LLC to Pruco Securities, LLCleft May 16, 2022, registered May 3, 2022 (-13 days) · Affiliated broker-dealer or bank to another
- Sovereign Wealth Advisors LLC to Park Avenue Securities LLCleft Nov 20, 2017, registered Sep 28, 2017 (-53 days) · Other
- Edward Jones to Sovereign Wealth Advisors LLCleft Jun 11, 2015, registered Jul 30, 2015 (49 days) · Affiliated broker-dealer or bank to a newly registered adviser
- Ameriprise Financial Services, LLC to Edward Jonesleft Dec 6, 2012, registered Dec 3, 2012 (-3 days) · Affiliated broker-dealer or bank to another
- Equitable Advisors, LLC to Ameriprise Financial Services, LLCleft Jun 24, 2010, registered Jun 30, 2010 (6 days) · Affiliated broker-dealer or bank to another
- Brighton Presidio Capital Management to Equitable Advisors, LLCleft Dec 31, 2006, registered Aug 11, 2009 (954 days) · Other
- Ameriprise Financial Services, LLC to Brighton Presidio Capital Managementleft Sep 27, 2005, registered Feb 6, 2006 (132 days) · Other
Signals
- Paul Anthony Dickens left Park Avenue Securities Llc for Pruco Securities, Llc (registered 2022-05-03)May 16, 2022 · 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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address