DFX Intelligence

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)25 years in industry

S••••••• A••••• F•••••••••

Advisor at P•••••• A•••••• G••••• L••

••• Locked

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:1f63eac9-5fc2-ceae-f19d-13455da11bf2

Data as of Sep 17, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:02 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Aug 22, 2001 to Sep 17, 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 22, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
P•••••• A•••••• G••••• L••	Bd affiliated wealth	Jun 23, 2025	n/a	yes	Bethesda, MD\|MORRISTOWN, NJ\|Seneca, SC	Current employment
M••••••• F•••••••• G••••• I•••	Former SEC adviser	May 21, 2015	Jul 16, 2025	no	ROCKVILLE, MD\|ROCKVILLE, MD

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M••••••• F•••••••• G••••• I•••	P•••••• A•••••• G••••• L••	Jul 16, 2025	Jun 23, 2025	-23	Firm change	RIA to ibd
N•• A•••••• S•••••••• L••	M••••••• F•••••••• G••••• I•••	Apr 15, 2015	May 21, 2015

Team moves

••• Locked

Team	Left	Joined	From	Kind
122320:155216:MD:2025-07-16	Jul 16, 2025	Jun 23, 2025	ROCKVILLE, MD	Firm change

Relationships

Registered with (4)

→ P•••••• A•••••• G••••• L••Registered adviserregistration: current employment
Jun 23, 2025 to presentfactForm ADV
→ M••••••• F•••••••• G••••• I•••Registered adviserregistration: previous registration
May 21, 2015 to Jul 16, 2025factForm ADV
→ N•• A•••••• S•••••••• L••Registered adviserregistration: previous registration
Oct 8, 2008 to Apr 15, 2015factForm ADV
→ U•• F•••••••• S••••••• I•••

Dated events

Occurred
Jul 16, 2025
A•••••• firm change
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1f63eac9-5fc2-ceae-f19d-13455da11bf2
First observed: Aug 22, 2001
Last observed: Sep 17, 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.