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P•••• G•• F••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner28 years in industry

P•••• G•• F••••

Advisor at S•••• W••••• M••••••••• L••

Colorado Springs, CO | MCLEAN, VA

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Search this name across graphsid dfx:ria:4c4f82a6-fbe5-5b03-59b0-bd89a4e04f59

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:58 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Apr 16, 2001 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: S•••• W••••• M••••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Oct 28, 1997earliest registration or exam on IAPD
Years in industry: 28derivedfrom 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
S•••• W••••• M••••••••• L••	Bd affiliated wealth	Sep 28, 2023	n/a	yes	MCLEAN, VA\|Colorado Springs, CO	Current employment
U••••• C•••••• F•••••••• A•••••••	Independent wealth	Jun 6, 2018	Oct 27, 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
U••••• C•••••• F•••••••• A•••••••	S•••• W••••• M••••••••• L••	Oct 27, 2023	Sep 28, 2023	-29	Firm change	Ibd to ibd
C•••••• S••••• • C••• I•••	U••••• C•••••• F•••••••• A•••••••	Oct 30, 2012

Relationships

Registered with (3)

→ S•••• W••••• M••••••••• L••Registered adviserregistration: current employment
Sep 28, 2023 to presentfactForm ADV
→ U••••• C•••••• F•••••••• A•••••••Registered adviserregistration: previous registration
Jun 6, 2018 to Oct 27, 2023factForm ADV
→ C•••••• S••••• • C••• I•••Registered adviserregistration: previous registration
Apr 16, 2001 to Oct 30, 2012factForm ADV

Dated events

Occurred
Oct 27, 2023
Advisor changed firm
P•••• G•• F•••• left U••••• C•••••• F•••••••• A••••••• for S•••• W••••• M••••••••• L•• (registered 2023-09-28)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4c4f82a6-fbe5-5b03-59b0-bd89a4e04f59
First observed: Apr 16, 2001
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.