DFX Intelligence

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

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RIA / WealthAdvisor35 years in industry

H••••• L•••••• R••••

Advisor at P•••••• A•••••• G••••• L••

••• Locked

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:48 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Aug 23, 1991 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: Jul 1, 1991earliest registration or exam on IAPD
Years in industry: 35derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
P•••••• A•••••• G••••• L••	Bd affiliated wealth	Aug 16, 2023	n/a	yes	MORRISTOWN, NJ\|Georgetown, TX\|Glastonbury, CT	Current employment
C•••••••• I••••••••• R••••••• A•••••••• I•••	Bd affiliated wealth	Nov 27, 2018	Aug 25, 2023	no	West Hartford, CT\|Georgetown, TX

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C•••••••• I••••••••• R••••••• A•••••••• I•••	P•••••• A•••••• G••••• L••	Aug 25, 2023	Aug 16, 2023	-9	Firm change	Ibd to ibd
O•••••••• • L••••••• I•••	C•••••••• I••••••••• R••••••• A•••••••• I•••	Dec 31, 2018	Nov 27, 2018

Relationships

Registered with (4)

→ P•••••• A•••••• G••••• L••Registered adviserregistration: current employment
Aug 16, 2023 to presentfactForm ADV
→ C•••••••• I••••••••• R••••••• A•••••••• I•••Registered adviserregistration: previous registration
Nov 27, 2018 to Aug 25, 2023factForm ADV
→ O•••••••• • L••••••• I•••Registered adviserregistration: previous registration
Apr 1, 2018 to Dec 31, 2018factForm ADV
→ N•• E•••••• G•••• W••••• A•••••••• I•••

Dated events

Occurred
Aug 25, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Aug 23, 1991
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.