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R•••• L••••• C••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)17 years in industry

R•••• L••••• C••••••

Advisor at P•• W••••• M•••••••••

Lake Havasu City, AZ | Kingman, AZ | Bullhead City, AZ

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Search this name across graphsid dfx:ria:12ac9040-69b9-2e58-b117-357fe84a77b1

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:20 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 2
On other graphs: 0
Observed: Mar 22, 2010 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•• W••••• M•••••••••
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: Apr 7, 2009earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 3derivedfrom 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•• W••••• M•••••••••	Bd affiliated wealth	Aug 23, 2023	n/a	yes	Kingman, AZ\|Lake Havasu City, AZ\|Bullhead City, AZ	Current employment
P••• A••••• S••••••••• L••	Bd affiliated wealth	Nov 7, 2022	Aug 23, 2023	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
P••• A••••• S••••••••• L••	P•• W••••• M•••••••••	Aug 23, 2023	Aug 23, 2023	0	Firm change	Ibd to ibd
C••••••• F•••••••• S•••••• C•••••••••	P••• A••••• S••••••••• L••	Jul 1, 2022

Relationships

Registered with (8)

→ P•• W••••• M•••••••••Registered adviserregistration: current employment
Aug 23, 2023 to presentfactForm ADV
→ P••• A••••• S••••••••• L••Registered adviserregistration: previous registration
Nov 7, 2022 to Aug 23, 2023factForm ADV
→ C••••••• F•••••••• S•••••• C•••••••••Registered adviserregistration: previous registration
May 17, 2021 to Jul 1, 2022factForm ADV
→ G•• S••••••••• I•••

Dated events

Occurred
Aug 23, 2023
Advisor changed firm
R•••• L••••• C•••••• left P••• A••••• S••••••••• L•• for P•• W••••• M••••••••• (registered 2023-08-23)
Form ADVobserved 7 days ago
Occurred
Jul 1, 2022
Advisor changed firm
R•••• L••••• C•••••• left C••••••• F•••••••• S•••••• C••••••••• for P••• A••••• S••••••••• L•• (registered 2022-11-07)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:12ac9040-69b9-2e58-b117-357fe84a77b1
First observed: Mar 22, 2010
Last observed: Sep 15, 2026 7 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.