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

M•••••• P•••••• E••••

R•••••• J•••• F•••••••• S••••••• A•••••••• I••BD affiliatedRcihmond, Kydual registrantIAPD 4588902

Feed of 09/14/2026

Also filed as M•••••• P•••••• E••••

At current firm

4 y

since Jan 11, 2022

In the industry

22 y

since Nov 4, 2003 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

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•••• F•••••••• S••••••• A•••••••• I•• BD affiliated current
since Jan 11, 2022 · Rcihmond, Ky
A••••••••• F•••••••• S•••••••• L•• national BD
Jun 22, 2018 to Jan 14, 2022 · Richmond, Ky
I••••••••• P••••••••• I••• former
Aug 5, 2015 to Sep 24, 2018 · Richmond, Ky
L•• F•••••••• L•• BD affiliated
Feb 7, 2014 to Aug 5, 2015 · Richmond, Ky
U••• B•••••• I••••••••• I••• former
Mar 29, 2010 to Feb 10, 2014 · Danville, Ky
P•• W••••• M••••••••• BD affiliated
Nov 13, 2009 to Mar 24, 2010 · Middlesboro, Ky
N•••••• I••••••••• I••• unclassified
Sep 9, 2005 to Nov 13, 2009 · Danville, Ky
C•••• I••••••••• S••••••• C•••• former
Jul 6, 2005 to Sep 15, 2005 · Lexington, Ky
B••• O•• S••••••••• C••••••••• unclassified
May 24, 2005 to Jul 6, 2005 · Lexington, Ky

Moves

a registration end followed by a registration begin elsewhere

A••••••••• F•••••••• S•••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
left Jan 14, 2022, registered Jan 11, 2022 (-3 days) · Affiliated broker-dealer or bank to another
I••••••••• P••••••••• I••• to A••••••••• F•••••••• S•••••••• L••
left Sep 24, 2018, registered Jun 22, 2018 (-94 days) · corporate re-registration, not a move
L•• F•••••••• L•• to I••••••••• P••••••••• I•••
left Aug 5, 2015, registered Aug 5, 2015 (0 days) · Other
U••• B•••••• I••••••••• I••• to L•• F•••••••• L••
left Feb 10, 2014, registered Feb 7, 2014 (-3 days) · Other
P•• W••••• M••••••••• to U••• B•••••• I••••••••• I•••
left Mar 24, 2010, registered Mar 29, 2010 (5 days) · Other
N•••••• I••••••••• I••• to P•• W••••• M•••••••••
left Nov 13, 2009, registered Nov 13, 2009 (0 days) · corporate re-registration, not a move
C•••• I••••••••• S••••••• C•••• to N•••••• I••••••••• I•••
left Sep 15, 2005, registered Sep 9, 2005 (-6 days) · Other
B••• O•• S••••••••• C••••••••• to C•••• I••••••••• S••••••• C••••
left Jul 6, 2005, registered Jul 6, 2005 (0 days) · corporate re-registration, not a move

Signals

M•••••• P•••••• E•••• left A••••••••• F•••••••• S•••••••• L•• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2022-01-11)
Jan 14, 2022 · 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: 22derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address