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P••••• A• P•••: advisor on the ria / wealth management graph | DFX Data Factory

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

P••••• A• P•••

Advisor at H•••••• J• S••• C•••••• M••••••••• I•••

FAIRFIELD, CT | Boca Raton, FL

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Search this name across graphsid dfx:ria:16176d69-0e74-3ede-ad08-ee123df240b3

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:13 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Nov 23, 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: H•••••• J• S••• C•••••• M••••••••• I•••
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 1, 2009earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 1derivedfrom 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
H•••••• J• S••• C•••••• M••••••••• I•••	Independent wealth	Jan 17, 2025	n/a	yes	FAIRFIELD, CT\|Boca Raton, FL	Current employment
S•••••• G•••• W••••• M••••••••• I•••	Former SEC adviser	Aug 23, 2017	Jan 10, 2025	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•••••• G•••• W••••• M••••••••• I•••	H•••••• J• S••• C•••••• M••••••••• I•••	Jan 10, 2025	Jan 17, 2025	7	Firm change	RIA to RIA
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	S•••••• G•••• W••••• M••••••••• I•••	Aug 7, 2017

Relationships

Registered with (3)

→ H•••••• J• S••• C•••••• M••••••••• I•••Registered adviserregistration: current employment
Jan 17, 2025 to presentfactForm ADV
→ S•••••• G•••• W••••• M••••••••• I•••Registered adviserregistration: previous registration
Aug 23, 2017 to Jan 10, 2025factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Nov 23, 2009 to Aug 7, 2017factForm ADV

Dated events

Occurred
Jan 10, 2025
Advisor changed firm
P••••• A• P••• left S•••••• G•••• W••••• M••••••••• I••• for H•••••• J• S••• C•••••• M••••••••• I••• (registered 2025-01-17)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:16176d69-0e74-3ede-ad08-ee123df240b3
First observed: Nov 23, 2009
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.