DFX Intelligence

S•••••• N• Y••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisor29 years in industry

S•••••• N• Y••••••••

Advisor at P•••••• C•••••• M••••••••• L••

OVERLAND PARK, KS | Babcock Ranch, FL

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Search this name across graphsid dfx:ria:d7af7e1d-9c77-0b18-8d61-14f03b01661f

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:34 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Jun 11, 2008 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•••••• C•••••• M••••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jul 19, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
P•••••• C•••••• M••••••••• L••	Independent wealth	Oct 21, 2020	n/a	yes	OVERLAND PARK, KS\|Babcock Ranch, FL	Current employment
F••••••• W••••• M••••••••• L••	Former SEC adviser	Nov 6, 2014	Oct 26, 2020	no	LEAWOOD, KS

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
F••••••• W••••• M••••••••• L••	P•••••• C•••••• M••••••••• L••	Oct 26, 2020	Oct 21, 2020	-5	Firm change	RIA to RIA
Y•••• W••••• M••••••••• I•••	F••••••• W••••• M••••••••• L••	Nov 27, 2018	Nov 6, 2014

Relationships

Registered with (5)

→ P•••••• C•••••• M••••••••• L••Registered adviserregistration: current employment
Oct 21, 2020 to presentfactForm ADV
→ F••••••• W••••• M••••••••• L••Registered adviserregistration: previous registration
Nov 6, 2014 to Oct 26, 2020factForm ADV
→ Y•••• W••••• M••••••••• I•••Registered adviserregistration: previous registration
Nov 29, 2012 to Nov 27, 2018factForm ADV
→ C••••••• P•••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d7af7e1d-9c77-0b18-8d61-14f03b01661f
First observed: Jun 11, 2008
Last observed: Sep 15, 2026 7 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.