DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner18 years in industry

T••••• S• W••••••

Advisor at P•••••• A•••••• G••••• L••

Springfield, IL | MORRISTOWN, NJ

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Search this name across graphsid dfx:ria:72e09af9-083f-d876-aacd-62edefde9af5

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:24 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Oct 28, 2009 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•••••• A•••••• G••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jan 28, 2008earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
P•••••• A•••••• G••••• L••	Bd affiliated wealth	Aug 16, 2021	n/a	yes	MORRISTOWN, NJ\|Springfield, IL	Current employment
K•• W••••• A•••••••	Independent wealth	Jun 14, 2016	Aug 17, 2021	no	SPRINGFIELD, IL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
K•• W••••• A•••••••	P•••••• A•••••• G••••• L••	Aug 17, 2021	Aug 16, 2021	-1	Firm change	RIA to ibd
C•••••••• I••••••••• R••••••• A•••••••• I•••	K•• W••••• A•••••••	Jun 16, 2016	Jun 14, 2016

Relationships

Registered with (5)

→ P•••••• A•••••• G••••• L••Registered adviserregistration: current employment
Aug 16, 2021 to presentfactForm ADV
→ K•• W••••• A•••••••Registered adviserregistration: previous registration
Jun 14, 2016 to Aug 17, 2021factForm ADV
→ C•••••••• I••••••••• R••••••• A•••••••• I•••Registered adviserregistration: previous registration
Oct 9, 2012 to Jun 16, 2016factForm ADV
→ B••••••• F• E•••••• • C••••••• I•••••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:72e09af9-083f-d876-aacd-62edefde9af5
First observed: Oct 28, 2009
Last observed: Sep 15, 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.