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.

Current firm

MARINER

Current firm class

broker-dealer affiliated wealth managerderived

Book size

not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none

Industry start

Feb 11, 2016earliest registration or exam on IAPD

Years in industry

10derivedfrom the industry start date

Years at current firm

0derivedfrom the current registration's begin date

Prior firms

3

Current registrations

1

Registered states

1

Designations

Certified Financial Planner

Exams

S63|S65

First exam

Feb 11, 2016

First registration

Feb 24, 2016

Dual registered

no

Other names

Sam Gaeta

IAPD individual key

6616279

• Occurred

  Nov 26, 2025
  Advisor changed firm

  Samuel Vasquez Gaeta left Defined Financial Planning Llc for Mariner (registered 2025-11-04)

  Form ADVobserved 6 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:e8cf7d20-05fb-fa91-b60a-13677d86d808

First observed

Feb 24, 2016

Last observed

Sep 14, 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.