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

D••••• P• S••••••••

L•• F•••••••• L••BD affiliatedSan Diego, Ca dual registrantIAPD 5604609

Feed of 09/14/2026

At current firm

1 y

since Apr 4, 2025

In the industry

16 y

since Nov 20, 2009 (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

L•• F•••••••• L•• BD affiliated current
since Apr 4, 2025 · Wildwood, Mo
U••• B•••••• I••••••••• I••• former
Sep 1, 2023 to Oct 15, 2024 · Saint Louis, Mo
C••••• I••••••••• A••••••• L•• BD affiliated
Dec 16, 2014 to Aug 21, 2023 · St. Louis, Mo
P•• W••••• M••••••••• BD affiliated
May 29, 2013 to Nov 13, 2014 · Creve Coeur, Mo
E••••• J•••• national BD
Nov 24, 2009 to May 6, 2013 · St. Louis, Mo

Moves

a registration end followed by a registration begin elsewhere

U••• B•••••• I••••••••• I••• to L•• F•••••••• L••
left Oct 15, 2024, registered Apr 4, 2025 (171 days) · Affiliated broker-dealer or bank to another · moved with a team
C••••• I••••••••• A••••••• L•• to U••• B•••••• I••••••••• I•••
left Aug 21, 2023, registered Sep 1, 2023 (11 days) · Affiliated broker-dealer or bank to another · moved with a team
P•• W••••• M••••••••• to C••••• I••••••••• A••••••• L••
left Nov 13, 2014, registered Dec 16, 2014 (33 days) · Other
E••••• J•••• to P•• W••••• M•••••••••
left May 6, 2013, registered May 29, 2013 (23 days) · Other

Signals

D••••• P• S•••••••• left U••• B•••••• I••••••••• I••• for L•• F•••••••• L•• (registered 2025-04-04)
Oct 15, 2024 · Advisor changed firm · fact
D••••• P• S•••••••• left C••••• I••••••••• A••••••• L•• for U••• B•••••• I••••••••• I••• (registered 2023-09-01)
Aug 21, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 16derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address