DFX Intelligence

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

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RIA / WealthAdvisor12 years in industry

P••••• N••••• W•••••

Advisor at S••••••••• W•••••

San Diego, CA | SUMMIT, NJ

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Search this name across graphsid dfx:ria:681c934a-ef88-3744-45f4-14cf574239f1

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:47 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Sep 26, 2024 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: S••••••••• W•••••
Current firm class: mixed wealth managerderived
Book size: not public••• Locked
Industry start: Sep 1, 2014earliest registration or exam on IAPD
Years in industry: 12derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••••••• W•••••	Mixed wealth	Feb 13, 2025	n/a	yes	SUMMIT, NJ\|San Diego, CA	Current employment
L•••••• A•••• M•••••••••	Former SEC adviser	Sep 26, 2024	Feb 14, 2025	no	SAN DIEGO, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L•••••• A•••• M•••••••••	S••••••••• W•••••	Feb 14, 2025	Feb 13, 2025	-1	Bulk transfer	Other

Relationships

Registered with (2)

→ S••••••••• W•••••Registered adviserregistration: current employment
Feb 13, 2025 to presentfactForm ADV
→ L•••••• A•••• M•••••••••Registered adviserregistration: previous registration
Sep 26, 2024 to Feb 14, 2025factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:681c934a-ef88-3744-45f4-14cf574239f1
First observed: Sep 26, 2024
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.