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•• K••• P•••

M•••••• L••••• P•••••• F••••• • S•••• I•••••••••wirehouseHenderson, Nv dual registrantIAPD 4042996

Feed of 09/15/2026

At current firm

11 y

since Sep 4, 2015

In the industry

26 y

since Nov 13, 1999 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

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 Sep 4, 2015 · Vienna, Va
W•••• F•••• A••••••• wirehouse
Apr 1, 2011 to Sep 4, 2015 · Las Vegas, Nv
L••••••• A•••• M••••••••• L•• asset manager
May 15, 2007 to Mar 31, 2011 · Dallas, Tx
B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
Aug 18, 2003 to May 15, 2007 · Dallas, Tx
B••• O• A•••••• S••••••••• L•• unclassified
Oct 16, 2000 to Aug 28, 2003 · Dallas , Tx

Moves

a registration end followed by a registration begin elsewhere

W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Sep 4, 2015, registered Sep 4, 2015 (0 days) · Wirehouse to wirehouse
L••••••• A•••• M••••••••• L•• to W•••• F•••• A•••••••
left Mar 31, 2011, registered Apr 1, 2011 (1 days) · Other
B••• O• A•••••• I••••••••• S•••••••• I••• to L••••••• A•••• M••••••••• L••
left May 15, 2007, registered May 15, 2007 (0 days) · Other
B••• O• A•••••• S••••••••• L•• to B••• O• A•••••• I••••••••• S•••••••• I•••
left Aug 28, 2003, registered Aug 18, 2003 (-10 days) · corporate re-registration, not a move

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