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••• L•••

J••• M••••• S••••••••• L••wirehouseIrwin, Pa dual registrantIAPD 6574319

Feed of 09/15/2026

Also filed as P••• L•••

At current firm

2 y

since Jul 24, 2024

In the industry

10 y

since Sep 1, 2016 (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

J••• M••••• S••••••••• L•• wirehouse current
since Jul 24, 2024 · Irwin, Pa
C••••••• S••••••••• I••• BD affiliated
Jun 6, 2022 to Jul 23, 2024 · Greensburg, Pa
P•• W••••• M••••••••• BD affiliated
Oct 21, 2020 to Mar 11, 2022 · Ellwood City, Pa
V•••• F•••••••• A•••••••• I••• BD affiliated
Nov 13, 2018 to Oct 23, 2020 · Seven Fields, Pa

Moves

a registration end followed by a registration begin elsewhere

C••••••• S••••••••• I••• to J••• M••••• S••••••••• L••
left Jul 23, 2024, registered Jul 24, 2024 (1 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
P•• W••••• M••••••••• to C••••••• S••••••••• I•••
left Mar 11, 2022, registered Jun 6, 2022 (87 days) · Affiliated broker-dealer or bank to another
V•••• F•••••••• A•••••••• I••• to P•• W••••• M•••••••••
left Oct 23, 2020, registered Oct 21, 2020 (-2 days) · Affiliated broker-dealer or bank to another

Signals

P••• L••• left C••••••• S••••••••• I••• for J••• M••••• S••••••••• L•• (registered 2024-07-24)
Jul 23, 2024 · Advisor changed firm · fact
P••• L••• left P•• W••••• M••••••••• for C••••••• S••••••••• I••• (registered 2022-06-06)
Mar 11, 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: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address