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• J••••••

P••• A••••• S••••••••• L••BD affiliatedBrentwood, Tndual registrantIAPD 4203818

Certified Financial Planner

Feed of 09/14/2026

Also filed as P••• Leroy J••••••

At current firm

3 y

since Aug 15, 2023

In the industry

24 y

since Nov 15, 2001 (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

P••• A••••• S••••••••• L•• BD affiliated current
since Aug 15, 2023 · Brentwood, Tn
S••••• F•••••••• G•••• I•• former
May 6, 2016 to Oct 24, 2017 · Altoona, Pa
C••••• I••••••••• A••••••• L•• BD affiliated
Oct 8, 2015 to Oct 24, 2017 · Altoona, Pa
J• P• T••••• • C•••••• C•••••• M••••••••• L•• former
Sep 23, 2011 to Nov 13, 2015 · Altoona, Pa
S•• BD affiliated
Nov 15, 2006 to Sep 27, 2011 · Altoona, Pa
S•••• I••••••••• L•• unclassified
Nov 15, 2001 to Dec 31, 2004 · Altoona, Pa

Moves

a registration end followed by a registration begin elsewhere

C••••• I••••••••• A••••••• L•• to S••••• F•••••••• G•••• I••
left Oct 24, 2017, registered May 6, 2016 (-536 days) · Other
S••••• F•••••••• G•••• I•• to P••• A••••• S••••••••• L••
left Oct 24, 2017, registered Aug 15, 2023 (2121 days) · Other
J• P• T••••• • C•••••• C•••••• M••••••••• L•• to C••••• I••••••••• A••••••• L••
left Nov 13, 2015, registered Oct 8, 2015 (-36 days) · corporate re-registration, not a move
S•• to J• P• T••••• • C•••••• C•••••• M••••••••• L••
left Sep 27, 2011, registered Sep 23, 2011 (-4 days) · Other
S•••• I••••••••• L•• to S••
left Dec 31, 2004, registered Nov 15, 2006 (684 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: 24derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address