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P•••••• R••••• M•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner12 years in industry

P•••••• R••••• M•••••

Advisor at P•••• R••••••••• A•••••••

CARLSBAD, CA

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:5c84ddc7-78d5-60d6-bf7a-c21e9083394e

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:59 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Jul 18, 2015 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•••• R••••••••• A•••••••
Current firm class: state registeredderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 11, 2014earliest registration or exam on IAPD
Years in industry: 12derivedfrom 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•••• R••••••••• A•••••••	State registered	Aug 1, 2024	n/a	yes	CARLSBAD, CA	Current employment
R•••••••• I••••••••• M•••••••••	Independent wealth	Apr 6, 2021	Aug 1, 2024	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
R•••••••• I••••••••• M•••••••••	P•••• R••••••••• A•••••••	Aug 1, 2024	Aug 1, 2024	0	Firm change	RIA to state RIA
H••••• C•••••• M••••••••• L••	R•••••••• I••••••••• M•••••••••	Oct 22, 2020

Team moves

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

Team	Left	Joined	From	Kind
45309:125557:WI:2016-06-02	Jun 2, 2016	May 16, 2016	MILWAUKEE, WI	Firm change

Relationships

Registered with (5)

→ P•••• R••••••••• A•••••••Registered adviserregistration: current employment
Aug 1, 2024 to presentfactForm ADV
→ R•••••••• I••••••••• M•••••••••Registered adviserregistration: previous registration
Apr 6, 2021 to Aug 1, 2024factForm ADV
→ H••••• C•••••• M••••••••• L••Registered adviserregistration: previous registration
May 27, 2020 to Oct 22, 2020factForm ADV
→ J•••••• W••••• I•••

Dated events

Occurred
Aug 1, 2024
Advisor changed firm
P•••••• R••••• M••••• left R•••••••• I••••••••• M••••••••• for P•••• R••••••••• A••••••• (registered 2024-08-01)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5c84ddc7-78d5-60d6-bf7a-c21e9083394e
First observed: Jul 18, 2015
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.