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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Consultant24 years in industry

JAMES DONOVAN SHAGAWAT

Advisor at MARINER INDEPENDENT

PARAMUS, NJ

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Search this name across graphsid dfx:ria:98cbca81-b10a-4ac4-a087-0c3e09ca6c11

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 7:30 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jan 5, 2006 to Sep 14, 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: MARINER INDEPENDENT
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 1, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner|Chartered Financial Consultant
First registration: Jan 5, 2006
Dual registered: no
Other names: JAMES SHAGAWAT
IAPD individual key: 5045150

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
MARINER INDEPENDENT	Independent wealth	Mar 2, 2022	n/a	yes	PARAMUS, NJ	Current employment
ADVICEPERIOD, LLC	Former SEC adviser	Sep 3, 2019	Mar 30, 2022	no	LOS ANGELES, CA\|PARAMUS, NJ	Previous registration
SHAGAWAT FINANCIAL ADVISORS, LLC DBA WINDFALL WEALTH ADVISORS	n/a	May 10, 2017	Sep 11, 2019	no	PARAMUS, NJ	Previous registration
BARON FINANCIAL GROUP LLC	Independent wealth	Jun 14, 2007	Mar 27, 2017	no	FAIR LAWN, NJ	Previous registration
STONEGATE WEALTH MANAGEMENT, LLC	Former SEC adviser	Jan 5, 2006	Nov 7, 2007	no	FAIR LAWN, NJ	Previous registration

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
ADVICEPERIOD, LLC	MARINER INDEPENDENT	Mar 30, 2022	Mar 2, 2022	-28	Bulk transfer	RIA to RIA
SHAGAWAT FINANCIAL ADVISORS, LLC DBA WINDFALL WEALTH ADVISORS	ADVICEPERIOD, LLC	Sep 11, 2019	Sep 3, 2019	-8	Firm change	Other
BARON FINANCIAL GROUP LLC	SHAGAWAT FINANCIAL ADVISORS, LLC DBA WINDFALL WEALTH ADVISORS	Mar 27, 2017	May 10, 2017	44	Firm change	Other
STONEGATE WEALTH MANAGEMENT, LLC	BARON FINANCIAL GROUP LLC	Nov 7, 2007	Jun 14, 2007	-146	Firm change after gap	Other

Relationships

Registered with (5)

→ MARINER INDEPENDENTRegistered adviserregistration: current employment
Mar 2, 2022 to presentfactForm ADV
→ ADVICEPERIOD, LLCRegistered adviserregistration: previous registration
Sep 3, 2019 to Mar 30, 2022factForm ADV
→ SHAGAWAT FINANCIAL ADVISORS, LLC DBA WINDFALL WEALTH ADVISORSRegistered adviserregistration: previous registration
May 10, 2017 to Sep 11, 2019factForm ADV
→ BARON FINANCIAL GROUP LLCRegistered adviserregistration: previous registration
Jun 14, 2007 to Mar 27, 2017factForm ADV
→ STONEGATE WEALTH MANAGEMENT, LLCRegistered adviserregistration: previous registration
Jan 5, 2006 to Nov 7, 2007factForm ADV

Dated events

No dated event names this entity yet.