DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
N••••••• P•••••• P•••••
Feed of 09/14/2026
Also filed as N••••••• P• P••••••••• P•••••
At current firm
2 y
since Jan 31, 2024
In the industry
12 y
since Feb 21, 2014 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, 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
- J••• M••••• S••••••••• L•• wirehouse currentsince Jan 31, 2024 · Costa Mesa, Ca
- C•••••• S••••• • C••• I••• national BDJan 26, 2022 to Jan 9, 2024 · Long Beach, Ca
- T• A••••••••• I••••••••• M••••••••• L•• formerNov 3, 2015 to Sep 7, 2023 · Long Beach, Ca
- T• A••••••••• I••• formerNov 3, 2015 to Oct 14, 2022 · Long Beach, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 5, 2015 to Oct 26, 2015 · Rolling Hills Estates, Ca
Moves
a registration end followed by a registration begin elsewhere
- C•••••• S••••• • C••• I••• to J••• M••••• S••••••••• L••left Jan 9, 2024, registered Jan 31, 2024 (22 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Sep 7, 2023, registered Jan 26, 2022 (-589 days) · corporate re-registration, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 14, 2022, registered Nov 3, 2015 (-2537 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to T• A••••••••• I•••left Oct 26, 2015, registered Nov 3, 2015 (8 days) · Other · moved with a team
Signals
- ••• LockedJan 9, 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
- Wirehousederived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address