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•••• N••• S••••••••

S•••••• P••••••• I••••••••• A•••••••• L••BD affiliatedStamford, Ct dual registrantIAPD 4635901

Certified Financial Planner

Feed of 09/14/2026

Also filed as P•••• Lou N•••

At current firm

2 y

since Mar 22, 2024

In the industry

22 y

since Oct 6, 2003 (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

S•••••• P••••••• I••••••••• A•••••••• L•• BD affiliated current
since Mar 22, 2024 · Stamford, Ct
S•••••• S••••• A••••••••• I••• former
Apr 1, 2014 to Dec 31, 2024 · Columbus, Oh
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated
Jan 2, 2009 to Dec 31, 2014 · Worthington, Oh
R•••••• J•••• F•••••••• S•••••••• I••• unclassified
Jun 24, 2008 to Jan 2, 2009 · Dublin, Oh
H•• I••••••••• A•••••••• L•• unclassified
Aug 18, 2005 to Jun 23, 2008 · Columbus, Oh
T•••• S••••• S••••••••• I••• former
Dec 17, 2004 to Jul 28, 2005 · Columbus, Oh
V•••••• A•••••••• I••• BD affiliated
Nov 6, 2003 to Dec 16, 2004 · Columbus, Oh

Moves

a registration end followed by a registration begin elsewhere

S•••••• S••••• A••••••••• I••• to S•••••• P••••••• I••••••••• A•••••••• L••
left Dec 31, 2024, registered Mar 22, 2024 (-284 days) · RIA to affiliated broker-dealer or bank · moved with a team
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to S•••••• S••••• A••••••••• I•••
left Dec 31, 2014, registered Apr 1, 2014 (-274 days) · Other
R•••••• J•••• F•••••••• S•••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
left Jan 2, 2009, registered Jan 2, 2009 (0 days) · corporate re-registration, not a move
H•• I••••••••• A•••••••• L•• to R•••••• J•••• F•••••••• S•••••••• I•••
left Jun 23, 2008, registered Jun 24, 2008 (1 days) · Other
T•••• S••••• S••••••••• I••• to H•• I••••••••• A•••••••• L••
left Jul 28, 2005, registered Aug 18, 2005 (21 days) · Other
V•••••• A•••••••• I••• to T•••• S••••• S••••••••• I•••
left Dec 16, 2004, registered Dec 17, 2004 (1 days) · Other

Signals

P•••• N••• S•••••••• left S•••••• S••••• A••••••••• I••• for S•••••• P••••••• I••••••••• A•••••••• L•• (registered 2024-03-22)
Dec 31, 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: 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