DFX Intelligence
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Registered advisor
T••••••• W•••••• P••••
Chartered Financial Analyst
Feed of 09/14/2026
Also filed as Ted P••••
At current firm
19 y
since Feb 1, 2007
In the industry
38 y
since Jun 3, 1988 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
3
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
- D•••••••• • C•••••• L•• BD affiliated currentsince Feb 1, 2007 · Richmond, Va
- E•••••••• I••••••••• M••••••••• C• unclassifiedMay 16, 2002 to Jan 7, 2010 · Boston, Ma
Moves
a registration end followed by a registration begin elsewhere
- E•••••••• I••••••••• M••••••••• C• to D•••••••• • C•••••• L••left Jan 7, 2010, registered Feb 1, 2007 (-1071 days) · Other
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address