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

P••••• E• A•••••••

J••• M••••• S••••••••• L••wirehouseNaples, Fldual registrantIAPD 6052002

Feed of 09/14/2026

Also filed as Phil E A•••••••

At current firm

2 y

since May 24, 2024

In the industry

14 y

since Jun 15, 2012 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

J••• M••••• S••••••••• L•• wirehouse current
since May 24, 2024 · Naples, Fl
C•••••••• G••••• M•••••• I••• BD affiliated
Apr 14, 2022 to Apr 16, 2024 · Chicago, Il
T••••••• I••••••••• M••••••••• I••• BD affiliated
Dec 5, 2019 to Apr 14, 2022 · Arlington Heights, Il
T••••••• A•••• M••••••••• L•• asset manager
Jul 8, 2019 to Dec 5, 2019 · Minneapolis, Mn
T••••••• I••••••••• M••••••••• I••• BD affiliated
Nov 15, 2018 to Jun 13, 2019 · Minneapolis, Mn

Moves

a registration end followed by a registration begin elsewhere

C•••••••• G••••• M•••••• I••• to J••• M••••• S••••••••• L••
left Apr 16, 2024, registered May 24, 2024 (38 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
T••••••• I••••••••• M••••••••• I••• to C•••••••• G••••• M•••••• I•••
left Apr 14, 2022, registered Apr 14, 2022 (0 days) · Affiliated broker-dealer or bank to another
T••••••• A•••• M••••••••• L•• to T••••••• I••••••••• M••••••••• I•••
left Dec 5, 2019, registered Dec 5, 2019 (0 days) · Other
T••••••• I••••••••• M••••••••• I••• to T••••••• A•••• M••••••••• L••
left Jun 13, 2019, registered Jul 8, 2019 (25 days) · Other · moved with a team

Signals

P••••• E• A••••••• left C•••••••• G••••• M•••••• I••• for J••• M••••• S••••••••• L•• (registered 2024-05-24)
Apr 16, 2024 · Advisor changed firm · fact
P••••• E• A••••••• left T••••••• I••••••••• M••••••••• I••• for C•••••••• G••••• M•••••• I••• (registered 2022-04-14)
Apr 14, 2022 · 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: Wirehousederived
Years in industry: 14derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address