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RIA / WealthAdvisorCertified Financial Planner20 years in industry

PATRICK MICHAEL SHAW

Advisor at MARINER INDEPENDENT

Milford, MI | Oakbrook Terrace, IL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:e5c47acb-b159-d44b-4eb8-2449079442b8

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:02 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 2
On other graphs: 0
Observed: Aug 15, 2006 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: MARINER INDEPENDENT
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 14, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 3
Designations: Certified Financial Planner
Exams: S66
First exam: Aug 14, 2006
First registration: Aug 15, 2006
Dual registered: no
IAPD individual key: 5082341

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
MARINER INDEPENDENT	Independent wealth	Mar 20, 2024	n/a	yes	Milford, MI\|Oakbrook Terrace, IL	Current employment
Lido	Independent wealth	Jan 25, 2023	Mar 15, 2024	no	CHICAGO, IL\|LOS ANGELES, CA	Previous registration
MARINER WEALTH ADVISORS	Former SEC adviser	Sep 12, 2016	Mar 31, 2018	no	OAKBROOK TERRACE, IL	Previous registration
Mariner	Bd affiliated wealth	Sep 12, 2016	Nov 7, 2022	no	OAKBROOK TERRACE, IL\|NOVI, MI	Previous registration
J.P. MORGAN SECURITIES LLC	Wirehouse	Apr 9, 2013	Sep 21, 2016	no	NAPERVILLE, IL	Previous registration
CHARLES SCHWAB & CO., INC.	National bd RIA	Oct 22, 2009	Apr 17, 2013	no	Oak Brook, IL	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Aug 15, 2006	Oct 7, 2009	no	CHICAGO, IL	Previous registration

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
Lido	MARINER INDEPENDENT	Mar 15, 2024	Mar 20, 2024	5	Firm change	RIA to RIA
Mariner	Lido	Nov 7, 2022	Jan 25, 2023	79	Firm change	Ibd to RIA
MARINER WEALTH ADVISORS	Mariner	Mar 31, 2018	Sep 12, 2016	-565	Firm change after gap	Other
J.P. MORGAN SECURITIES LLC	MARINER WEALTH ADVISORS	Sep 21, 2016	Sep 12, 2016	-9	Firm change	Other
CHARLES SCHWAB & CO., INC.	J.P. MORGAN SECURITIES LLC	Apr 17, 2013	Apr 9, 2013	-8	Firm change	Ibd to wirehouse
AMERIPRISE FINANCIAL SERVICES, LLC	CHARLES SCHWAB & CO., INC.	Oct 7, 2009	Oct 22, 2009	15	Firm change	Ibd to ibd

Team moves

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

Team	Left	Joined	From	Kind
226646:140195:IL:2018-03-31	Mar 31, 2018	Sep 12, 2016	OAKBROOK TERRACE, IL	Firm change after gap

Relationships

Registered with (7)

→ MARINER INDEPENDENTRegistered adviserregistration: current employment
Mar 20, 2024 to presentfactForm ADV
→ LIDORegistered adviserregistration: previous registration
Jan 25, 2023 to Mar 15, 2024factForm ADV
→ MARINERRegistered adviserregistration: previous registration
Sep 12, 2016 to Nov 7, 2022factForm ADV
→ MARINER WEALTH ADVISORSRegistered adviserregistration: previous registration
Sep 12, 2016 to Mar 31, 2018factForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Apr 9, 2013 to Sep 21, 2016factForm ADV
→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: previous registration
Oct 22, 2009 to Apr 17, 2013factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Aug 15, 2006 to Oct 7, 2009factForm ADV

Dated events

Occurred
Mar 15, 2024
Advisor changed firm
Patrick Michael Shaw left Lido for Mariner Independent (registered 2024-03-20)
Form ADVobserved 4 days ago
Occurred
Nov 7, 2022
Advisor changed firm
Patrick Michael Shaw left Mariner for Lido (registered 2023-01-25)
Form ADVobserved 4 days ago