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R••••• G••••• G•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)34 years in industry

R••••• G••••• G•••••

Advisor at P••••••• C•••••• S•••••••• I•••

SMITHS, AL | HAUPPAUGE, NY

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Search this name across graphsid dfx:ria:a76275c6-bf10-cf0b-c4eb-b14112961467

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:47 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Nov 26, 2002 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: P••••••• C•••••• S•••••••• I•••
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: Aug 11, 1992earliest registration or exam on IAPD
Years in industry: 34derivedfrom the industry start date
Years at current firm: 13derivedfrom 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•••••• S•••••••• I•••	Independent wealth	Feb 12, 2013	n/a	yes	HAUPPAUGE, NY\|SMITHS, AL	Current employment
L••• K••• • C••••••	Former SEC adviser	Jan 17, 2012	Feb 1, 2013	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
L••• K••• • C••••••	P••••••• C•••••• S•••••••• I•••	Feb 1, 2013	Feb 12, 2013	11	Firm change	Other
M••••••• C••••••• I•••	L••• K••• • C••••••	Jan 17, 2012

Relationships

Registered with (7)

→ P••••••• C•••••• S•••••••• I•••Registered adviserregistration: current employment
Feb 12, 2013 to presentfactForm ADV
→ L••• K••• • C••••••Registered adviserregistration: previous registration
Jan 17, 2012 to Feb 1, 2013factForm ADV
→ M••••••• C••••••• I•••Registered adviserregistration: previous registration
Jun 24, 2009 to Jan 17, 2012factForm ADV
→ F•••• L••••• S••••••••• L••Registered adviserregistration: previous registration

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a76275c6-bf10-cf0b-c4eb-b14112961467
First observed: Nov 26, 2002
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.