P••••• S• O••

Advisor at P••••••

MOORESVILLE, NC | SHELTON, CT

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 graphs

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 6:57 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Jan 15, 2009 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••••••
Current firm class: mixed wealth managerderived
Book size: not public••• Locked
Industry start: Apr 1, 2008earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
P••••••	Mixed wealth	Jul 3, 2025	n/a	yes	MOORESVILLE, NC\|SHELTON, CT	Current employment
W•••••• C••••••• W••••• M••••••••• I•••	Former SEC adviser	May 23, 2021	Jul 16, 2025	no	Moorseville, NC\|GLASTONBURY, CT\|Moorseville, NC

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W•••••• C••••••• W••••• M••••••••• I•••	P••••••	Jul 16, 2025	Jul 3, 2025	-13	Firm change	RIA to RIA
A••••••••• F•••••••• S•••••••• L••	W•••••• C••••••• W••••• M••••••••• I•••	Jan 12, 2021	May 23, 2021

Relationships

Registered with (4)

→ P••••••Registered adviserregistration: current employment
Jul 3, 2025 to presentfactForm ADV
→ W•••••• C••••••• W••••• M••••••••• I•••Registered adviserregistration: previous registration
May 23, 2021 to Jul 16, 2025factForm ADV
→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: previous registration
Jun 18, 2020 to Jan 12, 2021factForm ADV
→ E•••••••• A•••••••• L••

Dated events

Order

Occurred
16 Jul 2025
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jan 15, 2009
Last observed: Sep 15, 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.