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

J••••••• P••• L••••

A••••• A•• P••••••• S•••••••BD affiliatedRochester, Ny dual registrantIAPD 4844140

Feed of 09/15/2026

Also filed as J••••••• L••••

At current firm

0 y

since Jun 22, 2026

In the industry

21 y

since Oct 25, 2004 (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

A••••• A•• P••••••• S••••••• BD affiliated current
since Jun 22, 2026 · Rochester, Ny
R•••••• J•••• • A••••••••• I••• national BD
Jun 10, 2024 to Jun 15, 2026 · Rochester, Ny
A••••• A•• P••••••• S••••••• BD affiliated
May 9, 2014 to May 10, 2024 · Rochester, Ny
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Mar 10, 2011 to Apr 27, 2011 · Rochester, Ny
B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
Nov 17, 2005 to Mar 25, 2009 · Rochester, Ny

Moves

a registration end followed by a registration begin elsewhere

R•••••• J•••• • A••••••••• I••• to A••••• A•• P••••••• S•••••••
left Jun 15, 2026, registered Jun 22, 2026 (7 days) · Affiliated broker-dealer or bank to another
A••••• A•• P••••••• S••••••• to R•••••• J•••• • A••••••••• I•••
left May 10, 2024, registered Jun 10, 2024 (31 days) · Affiliated broker-dealer or bank to another
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••• A•• P••••••• S•••••••
left Apr 27, 2011, registered May 9, 2014 (1108 days) · Other
B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Mar 25, 2009, registered Mar 10, 2011 (715 days) · Other

Signals

J••••••• P••• L•••• left R•••••• J•••• • A••••••••• I••• for A••••• A•• P••••••• S••••••• (registered 2026-06-22)
Jun 15, 2026 · Advisor changed firm · fact
J••••••• P••• L•••• left A••••• A•• P••••••• S••••••• for R•••••• J•••• • A••••••••• I••• (registered 2024-06-10)
May 10, 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: 21derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address