DFX Intelligence
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Registered advisor
P••• L•••• A••••
Feed of 09/14/2026
Also filed as P••• A••••
At current firm
1 y
since Jun 17, 2025
In the industry
10 y
since Jun 1, 2016 (earliest exam, job or registration)
Prior registered firms
2
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Jun 17, 2025 · Sandusky, Oh
- O•••• W•••••• I••• BD affiliatedJan 24, 2025 to Jun 10, 2025 · Westlake, Oh
- O•••• F•• I••• formerSep 13, 2022 to Jan 24, 2025 · Orange Village, Oh
Moves
a registration end followed by a registration begin elsewhere
- O•••• W•••••• I••• to L•• F•••••••• L••left Jun 10, 2025, registered Jun 17, 2025 (7 days) · Affiliated broker-dealer or bank to another
- O•••• F•• I••• to O•••• W•••••• I•••left Jan 24, 2025, registered Jan 24, 2025 (0 days) · corporate re-registration, not a move
Signals
- ••• LockedJun 10, 2025 · Advisor changed firm · fact
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
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