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R•••••• M•••••• P••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner36 years in industry

R•••••• M•••••• P••••

Advisor at P•••• C•••••• F••••••••

OVERLAND PARK, KS | Stamford, 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 graphsid dfx:ria:f5de9c8b-7c39-a7b8-1423-ee658b79c381

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:18 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Sep 30, 1991 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•••••• F••••••••
Current firm class: mixed wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 2, 1989earliest registration or exam on IAPD
Years in industry: 36derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms

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
P•••• C•••••• F••••••••	Mixed wealth	Dec 19, 2022	n/a	yes	Stamford, CT\|OVERLAND PARK, KS	Current employment
L•••••• W••••• A•••••••• L••	Former SEC adviser	Jan 26, 2022	Dec 16, 2022	no

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
L•••••• W••••• A•••••••• L••	P•••• C•••••• F••••••••	Dec 16, 2022	Dec 19, 2022	3	Firm change	RIA to RIA
L•••••• W••••• A•••••••• L••	L•••••• W••••• A•••••••• L••	Dec 31, 2021

Team moves

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

Team	Left	Joined	From	Kind
107774:288712:FL:2022-12-16	Dec 16, 2022	Dec 19, 2022	NAPLES, FL	Firm change

Relationships

Registered with (5)

→ P•••• C•••••• F••••••••Registered adviserregistration: current employment
Dec 19, 2022 to presentfactForm ADV
→ L•••••• W••••• A•••••••• L••Registered adviserregistration: previous registration
Jan 26, 2022 to Dec 16, 2022factForm ADV
→ L•••••• W••••• A•••••••• L••Registered adviserregistration: previous registration
Jul 9, 2012 to Dec 31, 2021factForm ADV
→ A••••••• P••••••• G•••• I••

Dated events

Occurred
Dec 16, 2022
A•••••• firm change
R•••••• M•••••• P•••• left L•••••• W••••• A•••••••• L•• for P•••• C•••••• F•••••••• (registered 2022-12-19)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f5de9c8b-7c39-a7b8-1423-ee658b79c381
First observed: Sep 30, 1991
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.