DFX Intelligence

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

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RIA / WealthAdvisorChartered Financial Analystdual registered (broker-dealer)13 years in industry

C•••• H•• L••

Advisor at W••••• E••••••••• A••••••• S•••••••• L••

SAN MARINO, CA | PLYMOUTH, MN

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Search this name across graphsid dfx:ria:026ccc75-4867-29ff-c48e-a5693c295361

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:18 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Dec 24, 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: W••••• E••••••••• A••••••• S•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jul 1, 2013earliest registration or exam on IAPD
Years in industry: 13derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
W••••• E••••••••• A••••••• S•••••••• L••	Bd affiliated wealth	Jun 27, 2022	n/a	yes	PLYMOUTH, MN\|SAN MARINO, CA	Current employment
R•• R•••••••• L••	Bd affiliated wealth	Nov 18, 2019	Jun 13, 2022	no	San Francisco, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
R•• R•••••••• L••	W••••• E••••••••• A••••••• S•••••••• L••	Jun 13, 2022	Jun 27, 2022	14	Firm change	Ibd to ibd
P••••• P•••••• C•••••• M••••••••• L••	R•• R•••••••• L••	Aug 19, 2019	Nov 18, 2019

Relationships

Registered with (3)

→ W••••• E••••••••• A••••••• S•••••••• L••Registered adviserregistration: current employment
Jun 27, 2022 to presentfactForm ADV
→ R•• R•••••••• L••Registered adviserregistration: previous registration
Nov 18, 2019 to Jun 13, 2022factForm ADV
→ P••••• P•••••• C•••••• M••••••••• L••Registered adviserregistration: previous registration
Dec 24, 2013 to Aug 19, 2019factForm ADV

Dated events

Occurred
Jun 13, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:026ccc75-4867-29ff-c48e-a5693c295361
First observed: Dec 24, 2013
Last observed: Sep 14, 2026 9 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.