DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
P•••• Y•••• F••••
Feed of 09/14/2026
Also filed as P•••• Y••••••••• Y••••••••• Y•••• F••••••••• Y••••
At current firm
3 y
since Oct 5, 2022
In the industry
25 y
since Jan 5, 2001 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
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
- E•••••• A••••••• G••••• L•• BD affiliated currentsince Oct 5, 2022 · Greenwood Village, Co
- E•••••••• A•••••••• L•• national BDNov 22, 2005 to Mar 16, 2006 · San Francisco, Ca
- M••••• S•••••• D• I••• unclassifiedJun 1, 2001 to Mar 23, 2004 · Concord, Ca
Moves
a registration end followed by a registration begin elsewhere
- E•••••••• A•••••••• L•• to E•••••• A••••••• G••••• L••left Mar 16, 2006, registered Oct 5, 2022 (6047 days) · Affiliated broker-dealer or bank to another
- M••••• S•••••• D• I••• to E•••••••• A•••••••• L••left Mar 23, 2004, registered Nov 22, 2005 (609 days) · Other
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address