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••••••• T•••••
Feed of 09/14/2026
At current firm
17 y
since Dec 10, 2008
In the industry
18 y
since Dec 24, 2007 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
3
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
- U•• F•••••••• S••••••• I••• wirehouse currentsince Dec 10, 2008 · Irvine, Ca
- M••••• S•••••• • C•• L•• unclassifiedJan 10, 2008 to Dec 1, 2008 · Beverly Hills, Ca
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• • C•• L•• to U•• F•••••••• S••••••• I•••left Dec 1, 2008, registered Dec 10, 2008 (9 days) · corporate re-registration, not a move
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
- Wirehousederived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address