DFX Intelligence

P••••• K••• L•••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorChartered Financial Analyst35 years in industry

P••••• K••• L•••

Advisor at C••• P•••••• W••••• A•••••••• I•••

St. Louis, MO

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Search this name across graphsid dfx:ria:a0d5c89f-6591-9296-b16a-cf178d2cfde9

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:45 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Dec 22, 2000 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: C••• P•••••• W••••• A•••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Feb 21, 1991earliest registration or exam on IAPD
Years in industry: 35derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••• P•••••• W••••• A•••••••• I•••	Bd affiliated wealth	Oct 29, 2019	n/a	yes	St. Louis, MO	Current employment
L••••••••• G••••• A•••••••• L••	Former SEC adviser	Jul 5, 2007	Sep 30, 2019	no	ST. LOUIS, MO\|NEW YORK, NY\|NEW YORK, NY\|NEW YORK, NY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L••••••••• G••••• A•••••••• L••	C••• P•••••• W••••• A•••••••• I•••	Sep 30, 2019	Oct 29, 2019	29	Firm change	RIA to ibd
C••• P•••••• W••••• A•••••••• I•••	L••••••••• G••••• A•••••••• L••	Nov 1, 2006	Jul 5, 2007

Relationships

Registered with (2)

→ C••• P•••••• W••••• A•••••••• I•••Registered adviserregistration: previous registration
Dec 22, 2000 to Nov 1, 2006factForm ADV
→ L••••••••• G••••• A•••••••• L••Registered adviserregistration: previous registration
Jul 5, 2007 to Sep 30, 2019factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a0d5c89f-6591-9296-b16a-cf178d2cfde9
First observed: Dec 22, 2000
Last observed: Sep 14, 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.