DFX Intelligence
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Registered advisor
T••••• P• L••••••
Feed of 09/14/2026
Also filed as T••••• P••• L••••••••• L••••••
At current firm
9 y
since Nov 16, 2016
In the industry
21 y
since Dec 16, 2004 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- C•••••• S••••• • C••• I••• national BD currentsince Nov 16, 2016 · Phoenix, Az
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 21, 2016 to Apr 13, 2016 · Paramus, Nj
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••• S••••• • C••• I•••left Apr 13, 2016, registered Nov 16, 2016 (217 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address