DFX Intelligence
RIA 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
P•••• A• F••••
Feed of 09/15/2026
At current firm
5 y
since Aug 3, 2021
In the industry
19 y
since Apr 10, 2007 (earliest exam, job or registration)
Prior registered firms
2
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
- L•• F•••••••• L•• BD affiliated currentsince Aug 3, 2021 · Clinton, Ny
- C•••••• G•••• • C• I•• formerJan 20, 2009 to Apr 1, 2019 · Clinton, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 11, 2007 to Dec 22, 2008 · Utica, Ny
Moves
a registration end followed by a registration begin elsewhere
- C•••••• G•••• • C• I•• to L•• F•••••••• L••left Apr 1, 2019, registered Aug 3, 2021 (855 days) · Affiliated broker-dealer or bank to another · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••• G•••• • C• I••left Dec 22, 2008, registered Jan 20, 2009 (29 days) · Other
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address