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••• E••••••

U••••• A••••••• L••state registeredSan Francisco, Ca IA-onlyIAPD 4707940

Certified Financial Planner

Feed of 09/14/2026

At current firm

2 y

since Jun 5, 2024

In the industry

22 y

since Nov 7, 2003 (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

U••••• A••••••• L•• state registered current
since Jun 5, 2024 · Knoxville, Tn
O••••• I••••••••• A••••••• L•• independent RIA
Aug 8, 2025 to Sep 30, 2025 · Sarasota, Fl
M•••••• BD affiliated
Jul 14, 2023 to Oct 2, 2023 · Knoxville, Tn
F•••• independent RIA
Jul 21, 2020 to Jul 13, 2023 · Knoxville, Tn
C••••••• P••••••• independent RIA
Mar 27, 2013 to Aug 2, 2019 · Colorado Springs, Co
U••• F•••••••• P••••••• S••••••• former
Nov 27, 2007 to Apr 1, 2013 · Colorado Springs, Co
T• A••••••••• I••••••••• M••••••••• L•• former
May 6, 2004 to Nov 10, 2004 · Ft. Worth, Tx
A••••••••• F•••••••• S•••••••• L•• national BD
Nov 7, 2003 to Jan 16, 2004 · Dallas, Tx

Moves

a registration end followed by a registration begin elsewhere

O••••• I••••••••• A••••••• L•• to no registered destination
left Sep 30, 2025 · Departure, no registered destination
M•••••• to U••••• A••••••• L••
left Oct 2, 2023, registered Jun 5, 2024 (247 days) · Affiliated broker-dealer or bank to a state-registered adviser
F•••• to M••••••
left Jul 13, 2023, registered Jul 14, 2023 (1 days) · RIA to affiliated broker-dealer or bank
C••••••• P••••••• to F••••
left Aug 2, 2019, registered Jul 21, 2020 (354 days) · RIA to RIA
U••• F•••••••• P••••••• S••••••• to C••••••• P•••••••
left Apr 1, 2013, registered Mar 27, 2013 (-5 days) · Other
T• A••••••••• I••••••••• M••••••••• L•• to U••• F•••••••• P••••••• S•••••••
left Nov 10, 2004, registered Nov 27, 2007 (1112 days) · Other
A••••••••• F•••••••• S•••••••• L•• to T• A••••••••• I••••••••• M••••••••• L••
left Jan 16, 2004, registered May 6, 2004 (111 days) · Other

Signals

P•••••• N••• E•••••• no longer registered at O••••• I••••••••• A••••••• L••; no later IA registration on IAPD
Sep 30, 2025 · Advisor departure · fact
P•••••• N••• E•••••• left Mariner for U••••• A••••••• L•• (registered 2024-06-05)
Oct 2, 2023 · Advisor changed firm · fact
P•••••• N••• E•••••• left Facet for Mariner (registered 2023-07-14)
Jul 13, 2023 · 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: STATE REGISTEREDderived
Years in industry: 22derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address