DFX 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
J••••••• L••• P••••••••
Feed of 09/14/2026
Also filed as J••••••• L••• V••••••••• L••• W••••••••• L• P••••••••• L••• P••••••••
At current firm
5 y
since Apr 26, 2021
In the industry
14 y
since Apr 9, 2012 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, 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
- C•••••• S••••• • C••• I••• national BD currentsince Apr 26, 2021 · Westlake, Tx
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedMay 3, 2017 to Dec 21, 2020 · Kahului, Hi
- B••••••• I••••••••• S•••••••• I••• ••••• formerFeb 3, 2015 to May 2, 2017 · Kihei, Hi
- C•••••• S••••• • C••• I••• national BDJan 9, 2014 to Dec 18, 2014 · Indianapolis, In
Moves
a registration end followed by a registration begin elsewhere
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to C•••••• S••••• • C••• I•••left Dec 21, 2020, registered Apr 26, 2021 (126 days) · Affiliated broker-dealer or bank to another
- B••••••• I••••••••• S•••••••• I••• ••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left May 2, 2017, registered May 3, 2017 (1 days) · corporate re-registration, not a move
- C•••••• S••••• • C••• I••• to B••••••• I••••••••• S•••••••• I••• •••••left Dec 18, 2014, registered Feb 3, 2015 (47 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
- National broker-dealer RIAderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address