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

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RIA / WealthAdvisordual registered (broker-dealer)19 years in industry

S••••• I•••••

Advisor at P•••••• C••••• S•••••••• L••

Appleton, WI | ROCKVILLE, MD

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:1b386f8e-63f4-052c-1b9a-d2482daab031

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:51 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jun 10, 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•••••• C••••• S•••••••• 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: Aug 2, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 6derivedfrom 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•••••• C••••• S•••••••• L••	Bd affiliated wealth	Jul 23, 2020	n/a	yes	Appleton, WI\|ROCKVILLE, MD	Current employment
B••••• F•••••• W••••• M••••••••• L••	Independent wealth	Jan 24, 2017	Jul 24, 2020	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
B••••• F•••••• W••••• M••••••••• L••	P•••••• C••••• S•••••••• L••	Jul 24, 2020	Jul 23, 2020	-1	Firm change	RIA to RIA
C••••• A••••••• L••	B••••• F•••••• W••••• M••••••••• L••	Dec 31, 2019

Team moves

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

Team	Left	Joined	From	Kind
284920:120222:MD:2020-07-24	Jul 24, 2020	Jul 23, 2020	ROCKVILLE, MD	Firm change
10299:284920:MD:2019-12-31	Dec 31, 2019	Jan 24, 2017	ROCKVILLE, MD	Firm change after gap

Relationships

Registered with (4)

→ P•••••• C••••• S•••••••• L••Registered adviserregistration: current employment
Jul 23, 2020 to presentfactForm ADV
→ B••••• F•••••• W••••• M••••••••• L••Registered adviserregistration: previous registration
Jan 24, 2017 to Jul 24, 2020factForm ADV
→ C••••• A••••••• L••Registered adviserregistration: previous registration
Dec 3, 2010 to Dec 31, 2019factForm ADV
→ M•• F•••••••• S•••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1b386f8e-63f4-052c-1b9a-d2482daab031
First observed: Jun 10, 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.