DFX Intelligence

R••••• L•• C•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)41 years in industry

R••••• L•• C•••••••

Advisor at P•••••••• S••••••••• I•••

BETHESDA, MD

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Search this name across graphsid dfx:ria:fec0e498-fa4f-7092-4be5-f8fa63887248

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:11 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Oct 15, 1990 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••••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Apr 12, 1985earliest registration or exam on IAPD
Years in industry: 41derivedfrom the industry start date
Years at current firm: 20derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
P•••••••• S••••••••• I•••	Bd affiliated wealth	Mar 7, 2006	n/a	yes	BETHESDA, MD	Current employment
A••••••• A••••••• S•••••••	Former SEC adviser	Sep 30, 2004	Oct 20, 2004	no	LINCOLN, NE	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A••••••• A••••••• S•••••••	P•••••••• S••••••••• I•••	Oct 20, 2004	Mar 7, 2006	503	Firm change after gap	Other
T•• A••••••• G••••• I•••	A••••••• A••••••• S•••••••	Sep 30, 2004	Sep 30, 2004

Relationships

Registered with (3)

→ P•••••••• S••••••••• I•••Registered adviserregistration: current employment
Mar 7, 2006 to presentfactForm ADV
→ A••••••• A••••••• S•••••••Registered adviserregistration: previous registration
Sep 30, 2004 to Oct 20, 2004factForm ADV
→ T•• A••••••• G••••• I•••Registered adviserregistration: previous registration
Oct 15, 1990 to Sep 30, 2004factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:fec0e498-fa4f-7092-4be5-f8fa63887248
First observed: Oct 15, 1990
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.