DFX Intelligence

S•••••• C••••••••• N••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)36 years in industry

S•••••• C••••••••• N••••

Advisor at P•••••• A•••••• G••••• L••

••• Locked

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Search this name across graphsid dfx:ria:0756a440-0a11-6c5a-c21e-c4d41b91a0e0

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:06 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Feb 20, 2009 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: P•••••• A•••••• G••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Aug 28, 1990earliest registration or exam on IAPD
Years in industry: 36derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
P•••••• A•••••• G••••• L••	Bd affiliated wealth	Mar 21, 2022	n/a	yes	MORRISTOWN, NJ\|Plymouth, MN\|Naples, FL	Current employment
I•••••••• F•••••••• G••••	Former SEC adviser	Aug 17, 2011	Jul 25, 2022	no	PLYMOUTH, MN

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
I•••••••• F•••••••• G••••	P•••••• A•••••• G••••• L••	Jul 25, 2022	Mar 21, 2022	-126	Firm change after gap	RIA to ibd
M••••• S•••••• C•••••••••	I•••••••• F•••••••• G••••	Sep 8, 2009	Aug 17, 2011

Team moves

••• Locked

Team	Left	Joined	From	Kind
154168:155216:MN:2022-07-25	Jul 25, 2022	Mar 21, 2022	PLYMOUTH, MN	Firm change after gap

Relationships

Registered with (3)

→ P•••••• A•••••• G••••• L••Registered adviserregistration: current employment
Mar 21, 2022 to presentfactForm ADV
→ I•••••••• F•••••••• G••••Registered adviserregistration: previous registration
Aug 17, 2011 to Jul 25, 2022factForm ADV
→ M••••• S•••••• C•••••••••Registered adviserregistration: previous registration
Feb 20, 2009 to Sep 8, 2009factForm ADV

Dated events

Occurred
Jul 25, 2022
A•••••• firm change
S•••••• C••••••••• N•••• left I•••••••• F•••••••• G•••• for P•••••• A•••••• G••••• L•• (registered 2022-03-21)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0756a440-0a11-6c5a-c21e-c4d41b91a0e0
First observed: Feb 20, 2009
Last observed: Sep 14, 2026 8 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.