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•••••

S•••••••• A••••••• L••national BDParker, Co dual registrantIAPD 7528802

Feed of 09/15/2026

Also filed as P•••••• Joseph L•••••

At current firm

1 y

since Mar 31, 2025

In the industry

14 y

since Apr 1, 2012 (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

S•••••••• A••••••• L•• national BD current
since Mar 31, 2025 · Parker, Co
F••••••• P••••••• A•• W•••••••• A••••••• former
Jul 16, 2024 to Mar 31, 2025 · Greenwood Village, Co
O•••• I••••••••• I••• BD affiliated
Nov 30, 2023 to Apr 25, 2024 · Centennial, Co
C••• F•••••••• S•••••••• L••• former
Dec 21, 2022 to Nov 29, 2023 · Centennial, Co

Moves

a registration end followed by a registration begin elsewhere

F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••
left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
O•••• I••••••••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••
left Apr 25, 2024, registered Jul 16, 2024 (82 days) · Affiliated broker-dealer or bank to another
C••• F•••••••• S•••••••• L••• to O•••• I••••••••• I•••
left Nov 29, 2023, registered Nov 30, 2023 (1 days) · Affiliated broker-dealer or bank to another · moved with a team

Signals

P•••••• L••••• left O•••• I••••••••• I••• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2024-07-16)
Apr 25, 2024 · Advisor changed firm · fact
P•••••• L••••• left C••• F•••••••• S•••••••• L••• for O•••• I••••••••• I••• (registered 2023-11-30)
Nov 29, 2023 · 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: National broker-dealer RIAderived
Years in industry: 14derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address