DFX Intelligence
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Registered advisor
P••• J••••• L••••
Certified Financial Planner
Feed of 09/15/2026
At current firm
3 y
since Feb 17, 2023
In the industry
18 y
since Dec 14, 2007 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- R••••••••• C•••••• M••••••••• BD affiliated currentsince Feb 17, 2023 · Torrance, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 8, 2009 to Feb 22, 2023 · Los Angeles, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedDec 18, 2007 to Jan 23, 2009 · Rolling Hills, Ca
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R••••••••• C•••••• M•••••••••left Feb 22, 2023, registered Feb 17, 2023 (-5 days) · Wirehouse to affiliated broker-dealer or bank
- C•••••••• G••••• M•••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jan 23, 2009, registered Jan 8, 2009 (-15 days) · Other
Signals
- ••• LockedFeb 22, 2023 · Advisor changed firm · fact
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address