DFX Intelligence
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Registered advisor
D•••• L•• P••••
Feed of 09/14/2026
Also filed as D••• P••••••••• P••••
At current firm
9 y
since Apr 7, 2017
In the industry
20 y
since Dec 1, 2005 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- C••••••••• F•••••••• N•••••• national BD currentsince Apr 7, 2017 · Nebraska City, Ne
- W•••••• • R••• formerApr 3, 2006 to Apr 7, 2017 · Peru, Ne
Moves
a registration end followed by a registration begin elsewhere
- W•••••• • R••• to C••••••••• F•••••••• N••••••left Apr 7, 2017, registered Apr 7, 2017 (0 days) · Other · moved with a team
Signals
No dated event on this person.
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
- National broker-dealer RIAderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address