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

P•••••• N•••••

S•••••••• A••••••• L••national BDVero Beach, Fldual registrantIAPD 5119082

Feed of 09/14/2026

Also filed as Patrick Wayne Norris

At current firm

1 y

since Mar 31, 2025

In the industry

12 y

since Jul 18, 2014 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

S•••••••• A••••••• L•• national BD current
since Mar 31, 2025 · Vero Beach, Fl
F••••••• P••••••• A•• W•••••••• A••••••• former
Apr 23, 2024 to Mar 31, 2025 · Vero Beach, Fl
A••••••••• F•••••••• S•••••••• L•• national BD
Nov 1, 2021 to Mar 8, 2024 · Vero Beach, Fl
C••• B•••••••• S•••••••• I••• former
Dec 23, 2020 to Nov 3, 2021 · Fort Pierce, Fl
E••••• J•••• national BD
Dec 18, 2018 to Dec 17, 2020 · Vero Beach, Fl
T••••••• I••••••••• M••••••••• I••• BD affiliated
Oct 16, 2018 to Dec 19, 2018 · Vero Beach, Fl

Moves

a registration end followed by a registration begin elsewhere

F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••
left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
A••••••••• F•••••••• S•••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••
left Mar 8, 2024, registered Apr 23, 2024 (46 days) · Affiliated broker-dealer or bank to another
C••• B•••••••• S•••••••• I••• to A••••••••• F•••••••• S•••••••• L••
left Nov 3, 2021, registered Nov 1, 2021 (-2 days) · Affiliated broker-dealer or bank to another
E••••• J•••• to C••• B•••••••• S•••••••• I•••
left Dec 17, 2020, registered Dec 23, 2020 (6 days) · Affiliated broker-dealer or bank to another
T••••••• I••••••••• M••••••••• I••• to E••••• J••••
left Dec 19, 2018, registered Dec 18, 2018 (-1 days) · Affiliated broker-dealer or bank to another

Signals

P•••••• N••••• left A••••••••• F•••••••• S•••••••• L•• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2024-04-23)
Mar 8, 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: National broker-dealer RIAderived
Years in industry: 12derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address