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
Patricia K Moon
Feed of 09/15/2026
Also filed as Patricia Moon Collins
At current firm
13 y
since Oct 1, 2012
In the industry
29 y
since Mar 27, 1997 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
4
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
- J.P. Morgan Securities LLC wirehouse currentsince Oct 1, 2012 · Manhattan Beach, Ca
- Chase Investment Services Corp. formerSep 20, 2012 to Oct 1, 2012 · Long Beach, Ca
- J.P. Morgan Securities LLC wirehouseJul 22, 2009 to Sep 20, 2012 · Los Angeles, Ca
- Citigroup Global Markets Inc. BD affiliatedNov 21, 2007 to Jun 4, 2009 · Los Angeles, Ca
- Wells Fargo Advisors wirehouseJul 1, 2003 to Apr 16, 2007 · Seal Beach, Ca
- Prudential Equity Group, LLC unclassifiedOct 4, 1999 to Jul 1, 2003 · Newport Beach,, Ca
Moves
a registration end followed by a registration begin elsewhere
- Chase Investment Services Corp. to J.P. Morgan Securities LLCleft Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- J.P. Morgan Securities LLC to Chase Investment Services Corp.left Sep 20, 2012, registered Sep 20, 2012 (0 days) · Other
- Citigroup Global Markets Inc. to J.P. Morgan Securities LLCleft Jun 4, 2009, registered Jul 22, 2009 (48 days) · Other
- Wells Fargo Advisors to Citigroup Global Markets Inc.left Apr 16, 2007, registered Nov 21, 2007 (219 days) · Other
- Prudential Equity Group, LLC to Wells Fargo Advisorsleft Jul 1, 2003, registered Jul 1, 2003 (0 days) · corporate re-registration, not a move
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
- Wirehousederived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address