DFX Intelligence

M•••••• S•••••• W•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)20 years in industry

M•••••• S•••••• W•••••

Advisor at P•••• S••••••••• L••

NEWARK, NJ | Cornelius, NC

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Search this name across graphsid dfx:ria:eed08b75-f46e-4a26-0a23-467b9449d717

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:13 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Mar 20, 2013 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: P•••• S••••••••• L••
Current firm class: no raum reportedderived
Book size: not public••• Locked
Industry start: Aug 11, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
P•••• S••••••••• L••	No RAUM reported	Sep 1, 2023	n/a	yes	Cornelius, NC\|NEWARK, NJ	Current employment
L•• F•••••••• L••	Bd affiliated wealth	May 18, 2022	Feb 15, 2023	no	WAVERLY, IA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L•• F•••••••• L••	P•••• S••••••••• L••	Feb 15, 2023	Sep 1, 2023	198	Firm change	RIA to ibd
C••• B•••••••• S•••••••• I•••	L•• F•••••••• L••	May 18, 2022	May 18, 2022

Relationships

Registered with (4)

→ P•••• S••••••••• L••Registered adviserregistration: current employment
Sep 1, 2023 to presentfactForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
May 18, 2022 to Feb 15, 2023factForm ADV
→ C••• B•••••••• S•••••••• I•••Registered adviserregistration: previous registration
Dec 18, 2019 to May 18, 2022factForm ADV
→ C••• F•••••••• S•••••••• L•••

Dated events

Occurred
Feb 15, 2023
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:eed08b75-f46e-4a26-0a23-467b9449d717
First observed: Mar 20, 2013
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.