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.
Feed of 09/14/2026
Also filed as R••• Patrick S••••
At current firm
0 y
since Jan 1, 2026
In the industry
16 y
since Nov 1, 2009 (earliest exam, job or registration)
Prior registered firms
4
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
- P•••••••• A••••••• national BD currentsince Jan 1, 2026 · Loveland, Co
- P•••• S••••••••• L•• no RAUMJun 14, 2018 to Jul 9, 2019 · Johnstown, Co
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedFeb 10, 2017 to Mar 2, 2018 · Greeley, Co
- T••••••• I••••••••• M••••••••• I••• BD affiliatedMar 29, 2012 to Jan 5, 2017 · Loveland, Co
- E••••• J•••• national BDSep 27, 2010 to Nov 4, 2010 · St Louis, Mo
Moves
a registration end followed by a registration begin elsewhere
- P•••• S••••••••• L•• to P•••••••• A•••••••left Jul 9, 2019, registered Jan 1, 2026 (2368 days) · Affiliated broker-dealer or bank to another
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to P•••• S••••••••• L••left Mar 2, 2018, registered Jun 14, 2018 (104 days) · Affiliated broker-dealer or bank to another
- T••••••• I••••••••• M••••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jan 5, 2017, registered Feb 10, 2017 (36 days) · Other
- E••••• J•••• to T••••••• I••••••••• M••••••••• I•••left Nov 4, 2010, registered Mar 29, 2012 (511 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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address