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••• D•••• B••••

L•• F•••••••• L••BD affiliatedSan Diego, Ca dual registrantIAPD 4420494

Feed of 09/18/2026

Also filed as P••• D•••• B••••

At current firm

0 y

since Sep 17, 2026

In the industry

14 y

since Jan 20, 2012 (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

L•• F•••••••• L•• BD affiliated current
since Sep 17, 2026 · San Diego, Ca
F•••••••• A•••••••• L•• independent RIA
Feb 12, 2026 to Sep 3, 2026 · Vestal, Ny
O•••• W•••••• I••• BD affiliated
Dec 17, 2025 to Feb 20, 2026 · Vestal, Ny
L•• F•••••••• L•• BD affiliated
Sep 28, 2020 to Nov 4, 2025 · Buffalo, Ny
C••••••• S••••••••• I••• BD affiliated
Dec 23, 2015 to May 13, 2019 · Endicott, Ny
M•• S••••••••• I••• unclassified
Apr 8, 2015 to Dec 1, 2015 · Town Of Horseheads, Ny
F•••••••• A••••••• S•••••••• L•• former
Sep 10, 2013 to Jun 26, 2014 · New York, Ny
F•••••••• A••••••• S•••••••• L•• former
Apr 16, 2013 to Jul 16, 2013 · Endicott, Ny
E••••• J•••• national BD
Mar 19, 2012 to Mar 25, 2013 · St Louis, Mo

Moves

a registration end followed by a registration begin elsewhere

F•••••••• A•••••••• L•• to L•• F•••••••• L••
left Sep 3, 2026, registered Sep 17, 2026 (14 days) · RIA to affiliated broker-dealer or bank
O•••• W•••••• I••• to F•••••••• A•••••••• L••
left Feb 20, 2026, registered Feb 12, 2026 (-8 days) · Affiliated broker-dealer or bank to independent RIA
L•• F•••••••• L•• to O•••• W•••••• I•••
left Nov 4, 2025, registered Dec 17, 2025 (43 days) · Affiliated broker-dealer or bank to another
C••••••• S••••••••• I••• to L•• F•••••••• L••
left May 13, 2019, registered Sep 28, 2020 (504 days) · Affiliated broker-dealer or bank to another
M•• S••••••••• I••• to C••••••• S••••••••• I•••
left Dec 1, 2015, registered Dec 23, 2015 (22 days) · Other
F•••••••• A••••••• S•••••••• L•• to M•• S••••••••• I•••
left Jun 26, 2014, registered Apr 8, 2015 (286 days) · Other
E••••• J•••• to F•••••••• A••••••• S•••••••• L••
left Mar 25, 2013, registered Apr 16, 2013 (22 days) · Other

Signals

P••• D•••• B•••• registered as an investment adviser representative at L•• F•••••••• L••
Sep 17, 2026 · Advisor registered · fact
P••• D•••• B•••• left F•••••••• A•••••••• L•• for L•• F•••••••• L•• (registered 2026-09-17)
Sep 3, 2026 · 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: Broker-dealer affiliated wealth managerderived
Years in industry: 14derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address