DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)28 years in industry

J••••• P•••

Advisor at P•••••• W••••• M••••••••• L••

••• Locked

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 2:23 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Jan 22, 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: P•••••• W••••• M••••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Oct 27, 1997earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 6

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
P•••••• W••••• M••••••••• L••	Independent wealth	Nov 6, 2019	n/a	yes	SAN FRANCISCO, CA\|Boca Raton, FL\|SAG HARBOR, NY	Current employment
R•• W••••• A•••••••• L••	Former SEC adviser	Nov 14, 2017	Jan 17, 2020	no	RIDGEWOOD, NJ

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
R•• W••••• A•••••••• L••	P•••••• W••••• M••••••••• L••	Jan 17, 2020	Nov 6, 2019	-72	Firm change after gap	RIA to RIA
B•••••• I••••••••• M••••••••• L••	R•• W••••• A•••••••• L••	Oct 11, 2019	Nov 14, 2017

Team moves

••• Locked

Team	Left	Joined	From	Kind
289841:131037:NJ:2020-01-17	Jan 17, 2020	Nov 6, 2019	RIDGEWOOD, NJ	Firm change after gap
29604:226711:NJ:2017-11-02	Nov 9, 2017	Oct 6, 2016	RIDGEWOOD, NJ	Firm change after gap

Relationships

Registered with (5)

→ P•••••• W••••• M••••••••• L••Registered adviserregistration: current employment
Nov 6, 2019 to presentfactForm ADV
→ R•• W••••• A•••••••• L••Registered adviserregistration: previous registration
Nov 14, 2017 to Jan 17, 2020factForm ADV
→ B•••••• I••••••••• M••••••••• L••Registered adviserregistration: previous registration
Oct 6, 2016 to Oct 11, 2019factForm ADV
→ N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jan 22, 2001
Last observed: Sep 15, 2026 9 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.