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.
Registered advisor
P•••• W•••••
Feed of 09/14/2026
Also filed as P•••• M W•••••
At current firm
2 y
since Aug 30, 2024
In the industry
10 y
since Apr 1, 2016 (earliest exam, job or registration)
Prior registered firms
3
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
3
dated events on this person
Registration history
IAPD current and previous registrations
- E•••••• A••••••• G••••• L•• BD affiliated currentsince Aug 30, 2024 · Johnson City, Ny
- J••• M••••• S••••••••• L•• wirehouseJun 28, 2023 to Aug 24, 2024 · Vestal, Ny
- K•• I••••••••• S••••••• L•• BD affiliatedSep 15, 2022 to May 30, 2023 · Binghamton, Ny
- E•••••••• A•••••••• L•• national BDJan 5, 2018 to Jul 14, 2022 · Endicott, Ny
Moves
a registration end followed by a registration begin elsewhere
- J••• M••••• S••••••••• L•• to E•••••• A••••••• G••••• L••left Aug 24, 2024, registered Aug 30, 2024 (6 days) · Wirehouse to affiliated broker-dealer or bank
- K•• I••••••••• S••••••• L•• to J••• M••••• S••••••••• L••left May 30, 2023, registered Jun 28, 2023 (29 days) · Affiliated broker-dealer or bank to wirehouse
- E•••••••• A•••••••• L•• to K•• I••••••••• S••••••• L••left Jul 14, 2022, registered Sep 15, 2022 (63 days) · Affiliated broker-dealer or bank to another
Signals
- P•••• W••••• left J••• M••••• S••••••••• L•• for E•••••• A••••••• G••••• L•• (registered 2024-08-30)Aug 24, 2024 · Advisor changed firm · fact
- P•••• W••••• left K•• I••••••••• S••••••• L•• for J••• M••••• S••••••••• L•• (registered 2023-06-28)May 30, 2023 · Advisor changed firm · fact
- P•••• W••••• left E•••••••• A•••••••• L•• for K•• I••••••••• S••••••• L•• (registered 2022-09-15)Jul 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address