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

J•• P•••••• L••

P••••••••• B•••••••• S•••••••• I•••independent RIAGreen Bay, Wi dual registrantIAPD 2947738

Certified Financial Planner · Chartered Financial Analyst

Feed of 09/15/2026

Also filed as P•••••• Lee

At current firm

2 y

since Apr 15, 2024

In the industry

28 y

since Nov 1, 1997 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

P••••••••• B•••••••• S•••••••• I••• independent RIA current
since Apr 15, 2024 · Green Bay, Wi
S•••• W••••• M••••••••• L•• BD affiliated
Aug 22, 2016 to Apr 16, 2024 · Severna Park, Md
S•• A•••••••• I••• former
Jan 5, 2010 to Aug 22, 2016 · Pasadena, Md
M•••••••• A••••••• S•••••••• L•• unclassified
Feb 20, 1998 to Dec 31, 2009 · Pasadena, Md

Moves

a registration end followed by a registration begin elsewhere

S•••• W••••• M••••••••• L•• to P••••••••• B•••••••• S•••••••• I•••
left Apr 16, 2024, registered Apr 15, 2024 (-1 days) · Affiliated broker-dealer or bank to independent RIA
S•• A•••••••• I••• to S•••• W••••• M••••••••• L••
left Aug 22, 2016, registered Aug 22, 2016 (0 days) · Other
M•••••••• A••••••• S•••••••• L•• to S•• A•••••••• I•••
left Dec 31, 2009, registered Jan 5, 2010 (5 days) · Other

Signals

J•• P•••••• L•• left S•••• W••••• M••••••••• L•• for P••••••••• B•••••••• S•••••••• I••• (registered 2024-04-15)
Apr 16, 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