DFX Intelligence

W••••• C•••••• H•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner23 years in industry

W••••• C•••••• H•••••

Advisor at P••••••••

Naples, FL | ENGLEWOOD, NJ

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Search this name across graphsid dfx:ria:5e2b7266-1d42-0385-8045-6dcdf1f4e666

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:44 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: May 1, 2003 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••••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: May 1, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
P••••••••	Independent wealth	Jun 23, 2026	n/a	yes	Naples, FL\|ENGLEWOOD, NJ	Current employment
M••• C•••• C•••••• A•••••••• L••	Former SEC adviser	Feb 8, 2011	Jun 1, 2026	no	GATES M•••S, OH\|NAPLES, FL\|NAPLES, FL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M••• C•••• C•••••• A•••••••• L••	P••••••••	Jun 1, 2026	Jun 23, 2026	22	Firm change	RIA to RIA
H••••• • C••• L••	M••• C•••• C•••••• A•••••••• L••	Jan 29, 2004	Feb 8, 2011

Relationships

Registered with (3)

→ P••••••••Registered adviserregistration: current employment
Jun 23, 2026 to presentfactForm ADV
→ M••• C•••• C•••••• A•••••••• L••Registered adviserregistration: previous registration
Feb 8, 2011 to Jun 1, 2026factForm ADV
→ H••••• • C••• L••Registered adviserregistration: previous registration
May 1, 2003 to Jan 29, 2004factForm ADV

Dated events

Occurred
Jun 1, 2026
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5e2b7266-1d42-0385-8045-6dcdf1f4e666
First observed: May 1, 2003
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.