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D••••• T••••• M•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)40 years in industry

D••••• T••••• M•••••

Advisor at P•••••• A•••••• G••••• L••

CINCINNATI, OH | MORRISTOWN, NJ

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:0a1b16cc-0ddc-10c9-076c-dd01a811e2f5

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:30 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jan 21, 2009 to Sep 15, 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 publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Oct 1, 1985earliest registration or exam on IAPD
Years in industry: 40derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
P•••••• A•••••• G••••• L••	Bd affiliated wealth	Oct 7, 2015	n/a	yes	MORRISTOWN, NJ\|CINCINNATI, OH	Current employment
S••••• A••••••• I•••	Bd affiliated wealth	Jan 30, 2015	Oct 8, 2015	no

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
S••••• A••••••• I•••	P•••••• A•••••• G••••• L••	Oct 8, 2015	Oct 7, 2015	-1	Firm change	Other
S••••• A••• I••••••••• A•••••• S•••••••• I•••	S••••• A••••••• I•••	Jan 30, 2015

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
174182:155216:AL:2015-10-08	Oct 8, 2015	Oct 7, 2015	BIRMINGHAM, AL	Firm change

Relationships

Registered with (3)

→ P•••••• A•••••• G••••• L••Registered adviserregistration: current employment
Oct 7, 2015 to presentfactForm ADV
→ S••••• A••••••• I•••Registered adviserregistration: previous registration
Jan 30, 2015 to Oct 8, 2015factForm ADV
→ S••••• A••• I••••••••• A•••••• S•••••••• I•••Registered adviserregistration: previous registration
Jan 21, 2009 to Jan 30, 2015factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0a1b16cc-0ddc-10c9-076c-dd01a811e2f5
First observed: Jan 21, 2009
Last observed: Sep 15, 2026 6 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.