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P•••• J•••• C••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)20 years in industry

P•••• J•••• C••••

Advisor at U•• F•••••••• S••••••• I•••

PROVIDENCE, RI

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Search this name across graphsid dfx:ria:ca9f8fc0-8ded-35c6-e6f5-5ccbebb7c6a0

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 5:53 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Feb 20, 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: U•• F•••••••• S••••••• I•••
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Feb 18, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3

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
U•• F•••••••• S••••••• I•••	Wirehouse	Mar 27, 2026	n/a	yes	PROVIDENCE, RI	Current employment
C•••••••• A•••••••	Independent wealth	Sep 19, 2023	Mar 24, 2026	no	Providence, RI

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
C•••••••• A•••••••	U•• F•••••••• S••••••• I•••	Mar 24, 2026	Mar 27, 2026	3	Firm change	RIA to wirehouse
E•••••••• W••••• M••••••••• I•••	C•••••••• A•••••••	Sep 26, 2023

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
148129:286243:RI:2023-09-26	Sep 26, 2023	Sep 19, 2023	PROVIDENCE, RI	Firm change

Relationships

Registered with (4)

→ U•• F•••••••• S••••••• I•••Registered adviserregistration: current employment
Mar 27, 2026 to presentfactForm ADV
→ C•••••••• A•••••••Registered adviserregistration: previous registration
Sep 19, 2023 to Mar 24, 2026factForm ADV
→ E•••••••• W••••• M••••••••• I•••Registered adviserregistration: previous registration
Oct 23, 2012 to Sep 26, 2023factForm ADV
→ B•••••• W••••• P•••••••• L••

Dated events

Occurred
Mar 24, 2026
Advisor changed firm
P•••• J•••• C•••• left C•••••••• A••••••• for U•• F•••••••• S••••••• I••• (registered 2026-03-27)
Form ADVobserved 7 days ago
Occurred
Sep 26, 2023
Advisor changed firm
P•••• J•••• C•••• left E•••••••• W••••• M••••••••• I••• for C•••••••• A••••••• (registered 2023-09-19)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ca9f8fc0-8ded-35c6-e6f5-5ccbebb7c6a0
First observed: Feb 20, 2006
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.