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••••••• T•••• J••••••

R•••••• J•••• • A••••••••• I•••national BDScottsdale, Azdual registrantIAPD 4215608

Feed of 09/14/2026

Also filed as P••••••• T•••• Sammons

At current firm

2 y

since Mar 28, 2024

In the industry

25 y

since Dec 12, 2000 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

R•••••• J•••• • A••••••••• I••• national BD current
since Mar 28, 2024 · Scottsdale, Az
R•• C•••••• M••••••• L•• national BD
Jul 7, 2022 to Apr 10, 2024 · Scottsdale, Az
W•••• F•••• A••••••• wirehouse
Jan 3, 2011 to Apr 18, 2011 · Phoenix, Az
W•••• F•••• I••••••••• L•• unclassified
Nov 24, 2009 to Jan 3, 2011 · Phoenix, Az

Moves

a registration end followed by a registration begin elsewhere

R•• C•••••• M••••••• L•• to R•••••• J•••• • A••••••••• I•••
left Apr 10, 2024, registered Mar 28, 2024 (-13 days) · Affiliated broker-dealer or bank to another · moved with a team
W•••• F•••• A••••••• to R•• C•••••• M••••••• L••
left Apr 18, 2011, registered Jul 7, 2022 (4098 days) · Wirehouse to affiliated broker-dealer or bank
W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••
left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move

Signals

P••••••• T•••• J•••••• left R•• C•••••• M••••••• L•• for R•••••• J•••• • A••••••••• I••• (registered 2024-03-28)
Apr 10, 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: National broker-dealer RIAderived
Years in industry: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address