DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)24 years in industry

C••••••••• M••••••

Advisor at P• N••• F•••••••• S••••••• L••

NEWTOWN, PA

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Search this name across graphsid dfx:ria:22a65bcc-a40e-6a2f-50d9-3485e4dd5789

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:05 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Jul 26, 2007 to Sep 14, 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• N••• F•••••••• S••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Dec 13, 2001earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
P• N••• F•••••••• S••••••• L••	Independent wealth	Feb 12, 2026	n/a	yes	NEWTOWN, PA	Current employment
P•• F••••••••	Former SEC adviser	Jan 3, 2020	Dec 31, 2025	no	NEWTOWN, PA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
P•• F••••••••	P• N••• F•••••••• S••••••• L••	Dec 31, 2025	Feb 12, 2026	43	Firm change	RIA to RIA
H• B•••• I•••	P•• F••••••••	Nov 19, 2019	Jan 3, 2020

Team moves

••• Locked

Team	Left	Joined	From	Kind
165369:333595:PA:2025-12-31	Dec 31, 2025	Feb 12, 2026	NEWTOWN, PA	Firm change

Relationships

Registered with (4)

→ P• N••• F•••••••• S••••••• L••Registered adviserregistration: current employment
Feb 12, 2026 to presentfactForm ADV
→ P•• F••••••••Registered adviserregistration: previous registration
Jan 3, 2020 to Dec 31, 2025factForm ADV
→ H• B•••• I•••Registered adviserregistration: previous registration
Sep 1, 2016 to Nov 19, 2019factForm ADV
→ W•••• F•••• A•••••••

Dated events

Occurred
Dec 31, 2025
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:22a65bcc-a40e-6a2f-50d9-3485e4dd5789
First observed: Jul 26, 2007
Last observed: Sep 14, 2026 8 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.