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

A•••••• Y••• P•••••••

S•••••• P•••••••• L••independent RIAOmaha, Ne IA-onlyIAPD 2930520

Chartered Financial Consultant

Feed of 09/14/2026

Also filed as A•••••• Y P•••••••

At current firm

1 y

since Jan 15, 2025

In the industry

28 y

since Oct 2, 1997 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

S•••••• P•••••••• L•• independent RIA current
since Jan 15, 2025 · O••••, Ne
O•••• W•••••• I••• BD affiliated
Jun 14, 2024 to Dec 31, 2024 · Marlton, Nj
S••••••••• A•••••• A•••••••• I••• former
Apr 2, 2018 to Jun 14, 2024 · Marlton, Nj
E•••••••• A•••••••• L•• national BD
Sep 22, 2017 to Mar 14, 2018 · Conshohocken, Pa
M••••• O• O•••• I••••••• S•••••••• I••• independent RIA
Jan 21, 2016 to Mar 31, 2017 · Blue Bell, Pa

Moves

a registration end followed by a registration begin elsewhere

O•••• W•••••• I••• to S•••••• P•••••••• L••
left Dec 31, 2024, registered Jan 15, 2025 (15 days) · Affiliated broker-dealer or bank to independent RIA
S••••••••• A•••••• A•••••••• I••• to O•••• W•••••• I•••
left Jun 14, 2024, registered Jun 14, 2024 (0 days) · corporate re-registration, not a move
E•••••••• A•••••••• L•• to S••••••••• A•••••• A•••••••• I•••
left Mar 14, 2018, registered Apr 2, 2018 (19 days) · Affiliated broker-dealer or bank to another
M••••• O• O•••• I••••••• S•••••••• I••• to E•••••••• A•••••••• L••
left Mar 31, 2017, registered Sep 22, 2017 (175 days) · Other

Signals

A•••••• Y••• P••••••• left O•••• W•••••• I••• for S•••••• P•••••••• L•• (registered 2025-01-15)
Dec 31, 2024 · 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: Independent wealth managerderived
Years in industry: 28derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address