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•••••• L•• R•••••

M•••••• L••••• P•••••• F••••• • S•••• I•••••••••wirehouseGilbert, Az dual registrantIAPD 4023046

Feed of 09/14/2026

Also filed as P•••••• R•••••

At current firm

10 y

since Jul 5, 2016

In the industry

26 y

since Feb 10, 2000 (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

M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse current
since Jul 5, 2016 · Gilbert, Az
S•••••••• A••••••• L•• national BD
Oct 28, 2013 to Jun 3, 2016 · Reno, Nv
T• A••••••••• I••••••••• M••••••••• L•• former
Apr 25, 2006 to Jul 9, 2013 · Bellevue, Wa
T• A••••••••• I••• former
Apr 7, 2005 to Jul 9, 2013 · Bellevue, Wa
W•••••• • R••• former
Feb 10, 2003 to Apr 11, 2005 · Lewiston, Id

Moves

a registration end followed by a registration begin elsewhere

S•••••••• A••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Jun 3, 2016, registered Jul 5, 2016 (32 days) · Affiliated broker-dealer or bank to wirehouse
T• A••••••••• I••••••••• M••••••••• L•• to S•••••••• A••••••• L••
left Jul 9, 2013, registered Oct 28, 2013 (111 days) · Other
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Jul 9, 2013, registered Apr 25, 2006 (-2632 days) · channel change inside one enterprise, not a move
W•••••• • R••• to T• A••••••••• I•••
left Apr 11, 2005, registered Apr 7, 2005 (-4 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: Wirehousederived
Years in industry: 26derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address