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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Registered advisor

P•••••• D•••••

C••••• I••••••••• A••••••• L••BD affiliatedLombard, Il dual registrantIAPD 2849153

Feed of 09/15/2026

Also filed as Pat Joseph Duggan

At current firm

4 y

since Aug 23, 2022

In the industry

14 y

since Mar 15, 2012 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C••••• I••••••••• A••••••• L•• BD affiliated current
since Aug 23, 2022 · Lombard, Il
F•••• T•••• S••••••••• I••• BD affiliated
Aug 12, 2021 to Aug 22, 2022 · Chicago, Il
U••• B•••••• I••••••••• I••• former
Dec 6, 2018 to Aug 10, 2021 · Chicago, Il
A••••••••• F•••••••• S•••••••• L•• national BD
Nov 27, 2017 to Oct 4, 2018 · Chicago, Il
J••• M••••• S••••••••• L•• wirehouse
Oct 22, 2014 to Dec 7, 2017 · Chicago, Il
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Mar 16, 2012 to Oct 2, 2014 · Chicago, Il

Moves

a registration end followed by a registration begin elsewhere

F•••• T•••• S••••••••• I••• to C••••• I••••••••• A••••••• L••
left Aug 22, 2022, registered Aug 23, 2022 (1 days) · Affiliated broker-dealer or bank to another
U••• B•••••• I••••••••• I••• to F•••• T•••• S••••••••• I•••
left Aug 10, 2021, registered Aug 12, 2021 (2 days) · Affiliated broker-dealer or bank to another
A••••••••• F•••••••• S•••••••• L•• to U••• B•••••• I••••••••• I•••
left Oct 4, 2018, registered Dec 6, 2018 (63 days) · Affiliated broker-dealer or bank to another
J••• M••••• S••••••••• L•• to A••••••••• F•••••••• S•••••••• L••
left Dec 7, 2017, registered Nov 27, 2017 (-10 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• S••••••••• L••
left Oct 2, 2014, registered Oct 22, 2014 (20 days) · Wirehouse to wirehouse

Signals

P•••••• D••••• left F•••• T•••• S••••••••• I••• for C••••• I••••••••• A••••••• L•• (registered 2022-08-23)
Aug 22, 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: 14derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address