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

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RIA / WealthAdvisordual registered (broker-dealer)42 years in industry

D•••• E••••• S•••••

Advisor at P•••••• A•••••• G••••• L••

SACRAMENTO, CA | Sacramento, CA | MORRISTOWN, NJ

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:3b14c392-66fb-a2ef-147a-66e2dfcfb3ca

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:18 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 0
On other graphs: 0
Observed: Mar 31, 2000 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•••••• A•••••• G••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: May 23, 1984earliest registration or exam on IAPD
Years in industry: 42derivedfrom the industry start date
Years at current firm: 13derivedfrom the current registration's begin date
Prior firms: 6

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
P•••••• A•••••• G••••• L••	Bd affiliated wealth	Jun 26, 2026	n/a	yes	MORRISTOWN, NJ\|Sacramento, CA	Current employment
L•• F•••••••• L••	Bd affiliated wealth	Sep 25, 2012	n/a	yes	SACRAMENTO, CA	Current employment

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M•••••• A•••••• N••••••	P•••••• A•••••• G••••• L••	Jun 26, 2026	Jun 26, 2026	0	Bulk transfer	Ibd to ibd
S•••••••• W••••• A••••••• G••••	A••••••••• S••••••••• C••••	Jul 8, 2016	Jan 2, 2009

Team moves

••• Locked

Team	Left	Joined	From	Kind
140977:12969:CA:2016-07-07	Jul 8, 2016	Jan 2, 2009	SACRAMENTO, CA	Firm change after gap

Relationships

Registered with (8)

→ P•••••• A•••••• G••••• L••Registered adviserregistration: current employment
Jun 26, 2026 to presentfactForm ADV
→ L•• F•••••••• L••Registered adviserregistration: current employment
Sep 25, 2012 to presentfactForm ADV
→ M•••••• A•••••• N••••••Registered adviserregistration: previous registration
Jul 8, 2016 to Jun 26, 2026factForm ADV
→ S•••••••• W••••• A••••••• G••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3b14c392-66fb-a2ef-147a-66e2dfcfb3ca
First observed: Mar 31, 2000
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.