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.

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Registered advisor

P••• E••••• R••••••

C••• L••BD affiliatedOmaha, Ne IA-onlyIAPD 4039657

Feed of 09/14/2026

At current firm

2 y

since Oct 23, 2023

In the industry

26 y

since Oct 22, 1999 (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

C••• L•• BD affiliated current
since Oct 23, 2023 · Billings, Mt
A•••• P•••• A••••••• former
Mar 10, 2017 to Feb 1, 2024 · Billings, Mt
A••• A••••••• S•••••••• I••• unclassified
Nov 24, 2009 to Apr 11, 2017 · Billings, Mt
S••••••••• A•••••• A•••••••• I••• former
Jul 20, 2009 to Dec 1, 2009 · Billings, Mt
P•••• S••••••••• L•• no RAUM
May 14, 2003 to Jul 28, 2009 · Billings, Mt

Moves

a registration end followed by a registration begin elsewhere

A•••• P•••• A••••••• to C••• L••
left Feb 1, 2024, registered Oct 23, 2023 (-101 days) · Affiliated broker-dealer or bank to another
A••• A••••••• S•••••••• I••• to A•••• P•••• A•••••••
left Apr 11, 2017, registered Mar 10, 2017 (-32 days) · Other
S••••••••• A•••••• A•••••••• I••• to A••• A••••••• S•••••••• I•••
left Dec 1, 2009, registered Nov 24, 2009 (-7 days) · Other
P•••• S••••••••• L•• to S••••••••• A•••••• A•••••••• I•••
left Jul 28, 2009, registered Jul 20, 2009 (-8 days) · Other

Signals

P••• E••••• R•••••• left A•••• P•••• A••••••• for C••• L•• (registered 2023-10-23)
Feb 1, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 26derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address