DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)10 years in industry

C••••• M•••••• G••••••

Advisor at P•••••• A•••••• G••••• L••

MORRISTOWN, NJ | Plymouth, MN

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Search this name across graphsid dfx:ria:c3dd377e-cec4-9835-39cb-7a678f0e9f15

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:49 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Nov 27, 2018 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•••••• A•••••• G••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Sep 1, 2016earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
P•••••• A•••••• G••••• L••	Bd affiliated wealth	Mar 16, 2022	n/a	yes	MORRISTOWN, NJ\|Plymouth, MN	Current employment
I•••••••• F•••••••• G••••	Former SEC adviser	Jun 30, 2020	Jul 25, 2022	no	PLYMOUTH, MN

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
I•••••••• F•••••••• G••••	P•••••• A•••••• G••••• L••	Jul 25, 2022	Mar 16, 2022	-131	Firm change after gap	RIA to ibd
A••••••••• F•••••••• S•••••••• L••	I•••••••• F•••••••• G••••	Jun 8, 2020	Jun 30, 2020

Team moves

••• Locked

Team	Left	Joined	From	Kind
154168:155216:MN:2022-07-25	Jul 25, 2022	Mar 16, 2022	PLYMOUTH, MN	Firm change after gap
6363:154168:MN:2020-06-03	Jun 8, 2020	Jun 30, 2020	MINNEAPOLIS, MN	Firm change

Relationships

Registered with (3)

→ P•••••• A•••••• G••••• L••Registered adviserregistration: current employment
Mar 16, 2022 to presentfactForm ADV
→ I•••••••• F•••••••• G••••Registered adviserregistration: previous registration
Jun 30, 2020 to Jul 25, 2022factForm ADV
→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: previous registration
Nov 27, 2018 to Jun 8, 2020factForm ADV

Dated events

Occurred
Jul 25, 2022
A•••••• firm change
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c3dd377e-cec4-9835-39cb-7a678f0e9f15
First observed: Nov 27, 2018
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.