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R•••••• N••••• L•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorChartered Financial Consultantdual registered (broker-dealer)25 years in industry

R•••••• N••••• L•••••

Advisor at P•• A•••••••

Gilbert, AZ

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:44ff0135-5529-bc33-fcc7-1101075fd43a

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:02 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Apr 15, 2008 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•• A•••••••
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Oct 12, 2000earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 11derivedfrom 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•• A•••••••	Independent wealth	Mar 6, 2015	n/a	yes	Gilbert, AZ	Current employment
L•• F•••••••• L••	Bd affiliated wealth	Jan 30, 2009	Oct 11, 2017	no	SAN DIEGO, CA\|TEMPE, AZ\|CHANDLER, AZ\|GILBERT, AZ

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
L•• F•••••••• L••	P•• A•••••••	Oct 11, 2017	Mar 6, 2015	-950	Firm change after gap	Other
C•• F•••••••• G••••• I•••	L•• F•••••••• L••	Jan 21, 2009

Team moves

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

Team	Left	Joined	From	Kind
6413:173344:AZ:2017-10-11	Oct 11, 2017	Mar 6, 2015	GILBERT, AZ	Firm change after gap

Relationships

Registered with (3)

→ P•• A•••••••Registered adviserregistration: current employment
Mar 6, 2015 to presentfactForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Jan 30, 2009 to Oct 11, 2017factForm ADV
→ C•• F•••••••• G••••• I•••Registered adviserregistration: previous registration
Apr 15, 2008 to Jan 21, 2009factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:44ff0135-5529-bc33-fcc7-1101075fd43a
First observed: Apr 15, 2008
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.