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

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RIA / WealthAdvisorCertified Financial Planner19 years in industry

D••••• S•••••• O••

Advisor at P•••••••• L••

SAINT LOUIS, MO

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:46c5f43e-ca44-cdb7-28f7-fe2492628d3c

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:25 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 3
On other graphs: 0
Observed: Sep 10, 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•••••••• L••
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: Aug 24, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 2derivedfrom 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•••••••• L••	Independent wealth	Nov 2, 2023	n/a	yes	SAINT LOUIS, MO	Current employment
I••••• P••••••••• W•••••• L••	Independent wealth	Oct 3, 2023	Oct 16, 2023	no

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
I••••• P••••••••• W•••••• L••	P•••••••• L••	Oct 16, 2023	Nov 2, 2023	17	Firm change	RIA to RIA
B••••••••• W••••• A•••••••• L••	A•• F•••••••• G••••• L••	Sep 7, 2023

Team moves

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

Team	Left	Joined	From	Kind
315199:313928:MO:2022-12-31	Dec 31, 2022	Oct 3, 2023	CHESTERFIELD, MO	Firm change

Relationships

Registered with (7)

→ P•••••••• L••Registered adviserregistration: current employment
Nov 2, 2023 to presentfactForm ADV
→ I••••• P••••••••• W•••••• L••Registered adviserregistration: previous registration
Oct 3, 2023 to Oct 16, 2023factForm ADV
→ B••••••••• W••••• A•••••••• L••Registered adviserregistration: previous registration
Oct 2, 2018 to Sep 7, 2023factForm ADV
→ A•• F•••••••• G••••• L••Registered adviser

Dated events

Occurred
Oct 16, 2023
Advisor changed firm
D••••• S•••••• O•• left I••••• P••••••••• W•••••• L•• for P•••••••• L•• (registered 2023-11-02)
Form ADVobserved 7 days ago
Occurred
Sep 7, 2023
Advisor changed firm
D••••• S•••••• O•• left B••••••••• W••••• A•••••••• L•• for A•• F•••••••• G••••• L•• (registered 2021-09-29)
Form ADVobserved 7 days ago
Occurred
Dec 31, 2022
Advisor changed firm
D••••• S•••••• O•• left A•• F•••••••• G••••• L•• for I••••• P••••••••• W•••••• L•• (registered 2023-10-03)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:46c5f43e-ca44-cdb7-28f7-fe2492628d3c
First observed: Sep 10, 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.