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••• S•••••• R•••
Feed of 09/15/2026
Also filed as P••• S•••••• R•••
At current firm
1 y
since Jan 17, 2025
In the industry
25 y
since May 22, 2001 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- H•••••••• A•••••••• L•• BD affiliated currentsince Jan 17, 2025 · Chicago, Il
- M••••• S•••••• wirehouseJun 1, 2009 to Apr 11, 2016 · Newport Beach, Ca
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · Newport Beach, Ca
- M••••• S•••••• D• I••• unclassifiedJan 24, 2002 to Apr 2, 2007 · Newport Beach, Ca
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to H•••••••• A•••••••• L••left Apr 11, 2016, registered Jan 17, 2025 (3203 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
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