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.

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Registered advisor

P••••••• A•• L••••

A••••• W••••• M•••••••••state registeredScottsdale, AzIA-onlyIAPD 5204742

Certified Financial Planner

Feed of 09/14/2026

Also filed as Pat L••••

At current firm

1 y

since Nov 8, 2024

In the industry

20 y

since Sep 14, 2006 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

A••••• W••••• M••••••••• state registered current
since Nov 8, 2024 · Scottsdale, Az
L•••••••• A•••••••• L•• independent RIA
Jan 9, 2023 to Jan 15, 2025 · Scottsdale, Az
A••••• W••••• M••••••••• I••• unclassified
Dec 18, 2018 to Dec 31, 2021 · Phoenix, Az
A••••• W••••• M••••••••• I••• unclassified
Dec 18, 2018 to Apr 5, 2023 · Scottsdale, Az
L•• F•••••••• L•• BD affiliated
Jul 5, 2016 to Jan 11, 2019 · Phoenix, Az
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• former
Jun 30, 2014 to Jul 7, 2016 · Scottsdale, Az
A••••• W••••• M••••••••• I••• unclassified
Oct 29, 2013 to Dec 31, 2014 · Scottsdale, Az
P•••• F•••••••• C••••••• former
Jan 12, 2012 to Jan 17, 2014 · Scottsdale, Az
C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated
Jun 19, 2008 to Aug 1, 2012 · Scottsdale, Az
C••••• A••••••• L•• former
Sep 18, 2006 to Jun 26, 2008 · Surprise, Az

Moves

a registration end followed by a registration begin elsewhere

L•••••••• A•••••••• L•• to A••••• W••••• M•••••••••
left Jan 15, 2025, registered Nov 8, 2024 (-68 days) · RIA to a state-registered adviser · moved with a team
A••••• W••••• M••••••••• I••• to L•••••••• A•••••••• L••
left Apr 5, 2023, registered Jan 9, 2023 (-86 days) · Other
L•• F•••••••• L•• to A••••• W••••• M••••••••• I•••
left Jan 11, 2019, registered Dec 18, 2018 (-24 days) · Other
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to L•• F•••••••• L••
left Jul 7, 2016, registered Jul 5, 2016 (-2 days) · Other
A••••• W••••• M••••••••• I••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••
left Dec 31, 2014, registered Jun 30, 2014 (-184 days) · Other
P•••• F•••••••• C••••••• to A••••• W••••• M••••••••• I•••
left Jan 17, 2014, registered Oct 29, 2013 (-80 days) · Other
C•••••••• I••••••••• R••••••• A•••••••• I••• to P•••• F•••••••• C•••••••
left Aug 1, 2012, registered Jan 12, 2012 (-202 days) · Other
C••••• A••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left Jun 26, 2008, registered Jun 19, 2008 (-7 days) · Other

Signals

P••••••• A•• L•••• left L•••••••• A•••••••• L•• for A••••• W••••• M••••••••• (registered 2024-11-08)
Jan 15, 2025 · Advisor changed firm · fact
P••••••• A•• L•••• left A••••• W••••• M••••••••• I••• for L•••••••• A•••••••• L•• (registered 2023-01-09)
Apr 5, 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: STATE REGISTEREDderived
Years in industry: 20derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address