DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)29 years in industry

P••• N••••••• B•••••

Advisor at I••••••••• F•••••••• G••••• L••

OSHKOSH, WI

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Search this name across graphs

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 2:32 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Nov 29, 2005 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: I••••••••• F•••••••• G••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Aug 1, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 6

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
I••••••••• F•••••••• G••••• L••	Bd affiliated wealth	Oct 8, 2021	n/a	yes	OSHKOSH, WI	Current employment
W••••••• F•••••••• S•••••••• I•••	Former SEC adviser	Sep 15, 2014	Oct 5, 2021	no	OSHKOSH, WI\|OSHKOSH, WI\|NAPLES, FL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W••••••• F•••••••• S•••••••• I•••	I••••••••• F•••••••• G••••• L••	Oct 5, 2021	Oct 8, 2021	3	Firm change	Ibd to ibd
L•••••• S••••••••• I•••	W••••••• F•••••••• S•••••••• I•••	Sep 25, 2014	Sep 15, 2014

Relationships

Registered with (6)

→ I••••••••• F•••••••• G••••• L••Registered adviserregistration: current employment
Oct 8, 2021 to presentfactForm ADV
→ W••••••• F•••••••• S•••••••• I•••Registered adviserregistration: previous registration
Sep 15, 2014 to Oct 5, 2021factForm ADV
→ L•••••• S••••••••• I•••Registered adviserregistration: previous registration
Apr 5, 2010 to Sep 25, 2014factForm ADV
→ A••••• F•••••••• P•••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Nov 29, 2005
Last observed: Sep 14, 2026 10 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.