DFX Intelligence
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Registered advisor
P•••• A••••• L•••
Feed of 09/14/2026
Also filed as P•••• L••••••••• A••••• L•••••••• A••••• L••••••••• A••••• L••••••••• A••••• L•••••••••
At current firm
2 y
since Jun 28, 2024
In the industry
13 y
since Jun 7, 2013 (earliest exam, job or registration)
Prior registered firms
8
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Jun 28, 2024 · Orlando, Fl
- F••••••• P••••••• A•• W•••••••• A••••••• formerMay 3, 2023 to May 30, 2024 · Celebration, Fl
- M•• I•••••••• S•••••••• L•• BD affiliatedApr 14, 2020 to Jul 1, 2022 · Orlando, Fl
- N••••••••• M••••• I••••••••• S••••••••• no RAUMMay 1, 2019 to Oct 30, 2019 · Orlando, Fl
- C•••••• S••••• • C••• I••• national BDJan 9, 2018 to Mar 13, 2019 · Orlando, Fl
- A••••••••• I••• formerJan 15, 2015 to Aug 14, 2017 · Wilmington, De
- W•••• F•••• A••••••• wirehouseSep 4, 2014 to Nov 17, 2015 · Columbia, Md
- M••••• S•••••• wirehouseMar 4, 2014 to Jul 29, 2014 · Washington, Dc
- E••••• J•••• national BDJun 11, 2013 to Aug 13, 2013 · Maryland Heights, Mo
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 30, 2024, registered Jun 28, 2024 (29 days) · Affiliated broker-dealer or bank to wirehouse
- M•• I•••••••• S•••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 1, 2022, registered May 3, 2023 (306 days) · Affiliated broker-dealer or bank to another
- N••••••••• M••••• I••••••••• S••••••••• to M•• I•••••••• S•••••••• L••left Oct 30, 2019, registered Apr 14, 2020 (167 days) · Other
- C•••••• S••••• • C••• I••• to N••••••••• M••••• I••••••••• S•••••••••left Mar 13, 2019, registered May 1, 2019 (49 days) · Other
- A••••••••• I••• to C•••••• S••••• • C••• I•••left Aug 14, 2017, registered Jan 9, 2018 (148 days) · Other
- W•••• F•••• A••••••• to A••••••••• I•••left Nov 17, 2015, registered Jan 15, 2015 (-306 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- M••••• S•••••• to W•••• F•••• A•••••••left Jul 29, 2014, registered Sep 4, 2014 (37 days) · Wirehouse to wirehouse
- E••••• J•••• to M••••• S••••••left Aug 13, 2013, registered Mar 4, 2014 (203 days) · Affiliated broker-dealer or bank to wirehouse
Signals
- ••• LockedMay 30, 2024 · Advisor changed firm · fact
- ••• LockedJul 1, 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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address