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S••••• T•••• M•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)18 years in industry

S••••• T•••• M•••••••

Advisor at P•••• C•••••• F••••••••

Costa Mesa, CA | OVERLAND PARK, KS

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:64ac8e4c-a724-1bf8-06e1-33aca4b5514d

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:51 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 2
On other graphs: 0
Observed: May 19, 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•••••• F••••••••
Current firm class: mixed wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 16, 2008earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 3derivedfrom 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•••• C•••••• F••••••••	Mixed wealth	Sep 6, 2023	n/a	yes	OVERLAND PARK, KS\|Costa Mesa, CA	Current employment
M• H••••••• S••••••••• I•••	Bd affiliated wealth	Feb 21, 2023	Sep 6, 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
M• H••••••• S••••••••• I•••	P•••• C•••••• F••••••••	Sep 6, 2023	Sep 6, 2023	0	Firm change	Ibd to RIA
W••• W••••• G••••• L••	M• H••••••• S••••••••• I•••	Nov 29, 2022

Team moves

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

Team	Left	Joined	From	Kind
111458:316644:CA:2021-12-03	Dec 3, 2021	Nov 3, 2021	IRVINE, CA	Firm change
7870:5393:CA:2018-05-18	May 18, 2018	Jul 23, 2018	SAN DIEGO, CA	Firm change

Relationships

Registered with (8)

→ P•••• C•••••• F••••••••Registered adviserregistration: current employment
Sep 6, 2023 to presentfactForm ADV
→ M• H••••••• S••••••••• I•••Registered adviserregistration: previous registration
Feb 21, 2023 to Sep 6, 2023factForm ADV
→ W••• W••••• G••••• L••Registered adviserregistration: previous registration
Nov 3, 2021 to Nov 29, 2022factForm ADV
→ C••••• M••••••

Dated events

Occurred
Sep 6, 2023
Advisor changed firm
S••••• T•••• M••••••• left M• H••••••• S••••••••• I••• for P•••• C•••••• F•••••••• (registered 2023-09-06)
Form ADVobserved 7 days ago
Occurred
Nov 29, 2022
Advisor changed firm
S••••• T•••• M••••••• left W••• W••••• G••••• L•• for M• H••••••• S••••••••• I••• (registered 2023-02-21)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:64ac8e4c-a724-1bf8-06e1-33aca4b5514d
First observed: May 19, 2008
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.