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

J••• P• P•••

L•• F•••••••• L••BD affiliatedSolana Beach, Ca dual registrantIAPD 5837916

Certified Financial Planner · Chartered Financial Consultant

Feed of 09/15/2026

Also filed as J••• Paul P•••

At current firm

2 y

since Sep 19, 2024

In the industry

24 y

since Sep 1, 2002 (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 Sep 19, 2024 · Fresno, Ca
C••••• I••••••••• A••••••• L•• BD affiliated
Jun 29, 2023 to Sep 23, 2024 · Solana Beach,, Ca
C••••• A•••••• N••••••• L•• former
Apr 20, 2022 to Jun 29, 2023 · Solana Beach,, Ca
F•••• F•••••••• E••••• C••••••••• former
May 18, 2012 to Apr 20, 2022 · Scottsdale, Az
J•• C•••••• A••••••• L•• former
Jun 16, 2011 to May 17, 2012 · San Diego, Ca
W•• S••••••••• unclassified
Oct 14, 2010 to Jun 14, 2011 · San Diego, Ca

Moves

a registration end followed by a registration begin elsewhere

C••••• I••••••••• A••••••• L•• to L•• F•••••••• L••
left Sep 23, 2024, registered Sep 19, 2024 (-4 days) · Affiliated broker-dealer or bank to another
C••••• A•••••• N••••••• L•• to C••••• I••••••••• A••••••• L••
left Jun 29, 2023, registered Jun 29, 2023 (0 days) · corporate re-registration, not a move
F•••• F•••••••• E••••• C••••••••• to C••••• A•••••• N••••••• L••
left Apr 20, 2022, registered Apr 20, 2022 (0 days) · Affiliated broker-dealer or bank to another
J•• C•••••• A••••••• L•• to F•••• F•••••••• E••••• C•••••••••
left May 17, 2012, registered May 18, 2012 (1 days) · Other
W•• S••••••••• to J•• C•••••• A••••••• L••
left Jun 14, 2011, registered Jun 16, 2011 (2 days) · Other

Signals

J••• P• P••• left C••••• I••••••••• A••••••• L•• for L•• F•••••••• L•• (registered 2024-09-19)
Sep 23, 2024 · a•••••• firm change · fact
J••• P• P••• left F•••• F•••••••• E••••• C••••••••• for C••••• A•••••• N••••••• L•• (registered 2022-04-20)
Apr 20, 2022 · a•••••• firm change · 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: 24derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address