DFX Intelligence

B••• A•• M••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)34 years in industry

B••• A•• M••••••

Advisor at P•••••• C••••• S•••••••• L••

••• Locked

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Search this name across graphsid dfx:ria:50b8f4bb-3600-ad5b-5189-d088281374f1

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:37 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Oct 17, 2008 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•••••• C••••• S•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jan 22, 1992earliest registration or exam on IAPD
Years in industry: 34derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
P•••••• C••••• S•••••••• L••	Bd affiliated wealth	Jul 11, 2022	n/a	yes	LOUISVILLE, KY\|Appleton, WI\|Marion, WI	Current employment
S•••••••• F••••••••• I•••	Former SEC adviser	Feb 28, 2020	Jul 5, 2022	no	APPLETON, WI

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S•••••••• F••••••••• I•••	P•••••• C••••• S•••••••• L••	Jul 5, 2022	Jul 11, 2022	6	Firm change	Ibd to ibd
S•• I••••••••• I•••	S•••••••• F••••••••• I•••	Mar 19, 2018	Feb 28, 2020

Relationships

Registered with (4)

→ P•••••• C••••• S•••••••• L••Registered adviserregistration: current employment
Jul 11, 2022 to presentfactForm ADV
→ S•••••••• F••••••••• I•••Registered adviserregistration: previous registration
Feb 28, 2020 to Jul 5, 2022factForm ADV
→ S•• I••••••••• I•••Registered adviserregistration: previous registration
Feb 20, 2009 to Mar 19, 2018factForm ADV
→ I••••• F•••••••• C•••••••••

Dated events

Occurred
Jul 5, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:50b8f4bb-3600-ad5b-5189-d088281374f1
First observed: Oct 17, 2008
Last observed: Sep 15, 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.