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••• G•••••••••

S•••••• P•••••••• L••independent RIAOmaha, Ne IA-onlyIAPD 7325299

Feed of 09/14/2026

At current firm

0 y

since Aug 4, 2026

In the industry

23 y

since Aug 1, 2003 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

S•••••• P•••••••• L•• independent RIA current
since Aug 4, 2026 · Omaha, Ne
C••••••••• W•••••• L•• independent RIA
Jan 29, 2025 to Jul 10, 2026 · Jacksonville, Fl
P•••••••• S••••••••• I••• BD affiliated
Sep 15, 2023 to Jan 24, 2024 · Jacksonville, Fl
P•••• S••••••••• L•• no RAUM
Jul 20, 2023 to Aug 18, 2023 · Jacksonville, Fl
T•• A•••••••• I••• BD affiliated
Jun 29, 2022 to Jul 7, 2023 · Louisville, Ky
P•••••••• S••••••••• I••• BD affiliated
Jun 1, 2022 to Jun 15, 2022 · Jacksonville, Fl

Moves

a registration end followed by a registration begin elsewhere

C••••••••• W•••••• L•• to S•••••• P•••••••• L••
left Jul 10, 2026, registered Aug 4, 2026 (25 days) · RIA to RIA
P•••••••• S••••••••• I••• to C••••••••• W•••••• L••
left Jan 24, 2024, registered Jan 29, 2025 (371 days) · Affiliated broker-dealer or bank to independent RIA
P•••• S••••••••• L•• to P•••••••• S••••••••• I•••
left Aug 18, 2023, registered Sep 15, 2023 (28 days) · Affiliated broker-dealer or bank to another
T•• A•••••••• I••• to P•••• S••••••••• L••
left Jul 7, 2023, registered Jul 20, 2023 (13 days) · Affiliated broker-dealer or bank to another
P•••••••• S••••••••• I••• to T•• A•••••••• I•••
left Jun 15, 2022, registered Jun 29, 2022 (14 days) · Affiliated broker-dealer or bank to another

Signals

P••• G••••••••• left C••••••••• W•••••• L•• for S•••••• P•••••••• L•• (registered 2026-08-04)
Jul 10, 2026 · Advisor changed firm · fact
P••• G••••••••• left P•••••••• S••••••••• I••• for C••••••••• W•••••• L•• (registered 2025-01-29)
Jan 24, 2024 · Advisor changed firm · fact
P••• G••••••••• left P•••• S••••••••• L•• for P•••••••• S••••••••• I••• (registered 2023-09-15)
Aug 18, 2023 · Advisor changed firm · fact
P••• G••••••••• left T•• A•••••••• I••• for P•••• S••••••••• L•• (registered 2023-07-20)
Jul 7, 2023 · Advisor changed firm · fact
P••• G••••••••• left P•••••••• S••••••••• I••• for T•• A•••••••• I••• (registered 2022-06-29)
Jun 15, 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: Independent wealth managerderived
Years in industry: 23derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address