DFX Intelligence
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Registered advisor
P••••• C••••••••• L••
R•••••• J•••• F•••••••• S••••••• A•••••••• I••BD affiliatedSt. Petersburg, Fl dual registrantIAPD 5021014
Feed of 09/15/2026
At current firm
3 y
since Sep 13, 2023
In the industry
20 y
since Dec 22, 2005 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
2
current registrations
Exams
S66, S63
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•••••• J•••• • A••••••••• I••• national BD currentsince Sep 18, 2023 · St. Petersburg, Fl
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Sep 13, 2023 · Saint Petersburg, Fl
- C•••••• S••••• • C••• I••• national BDJan 19, 2022 to Jul 31, 2023 · St. Louis, Mo
- T• A••••••••• I••••••••• M••••••••• L•• formerApr 7, 2018 to Apr 12, 2018 · St Louis, Mo
- T• A••••••••• I••• formerJan 17, 2018 to Jan 19, 2022 · St Louis, Mo
- S•••••••• I••••••••• M••••••••• formerMar 11, 2016 to Apr 7, 2018 · Saint Louis, Mo
Moves
a registration end followed by a registration begin elsewhere
- C•••••• S••••• • C••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jul 31, 2023, registered Sep 13, 2023 (44 days) · Affiliated broker-dealer or bank to another
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Jan 19, 2022, registered Apr 7, 2018 (-1383 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Apr 12, 2018, registered Jan 19, 2022 (1378 days) · RIA to affiliated broker-dealer or bank
- S•••••••• I••••••••• M••••••••• to T• A••••••••• I•••left Apr 7, 2018, registered Jan 17, 2018 (-80 days) · channel change inside one enterprise, not a move
Signals
- ••• LockedJul 31, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address