DFX Intelligence

G•••••• A• L••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)21 years in industry

G•••••• A• L••••

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

PLYMOUTH, MN | CLEVELAND, OH

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Search this name across graphsid dfx:ria:04487e1b-16ef-d72b-670a-3ab3d6165807

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:29 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 0
On other graphs: 0
Observed: Nov 1, 2007 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: W••••• E••••••••• A••••••• S•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Sep 16, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 7

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
W••••• E••••••••• A••••••• S•••••••• L••	Bd affiliated wealth	May 16, 2025	n/a	yes	CLEVELAND, OH\|PLYMOUTH, MN	Current employment
M••••• W•••••• L••	Former SEC adviser	Oct 21, 2021	May 19, 2025	no	CLEVELAND, OH

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M••••• W•••••• L••	W••••• E••••••••• A••••••• S•••••••• L••	May 19, 2025	May 16, 2025	-3	Bulk transfer	RIA to ibd
G••••• R••••••••• P••••••• L••	M••••• W•••••• L••	Oct 15, 2021	Oct 21, 2021

Relationships

Registered with (8)

→ W••••• E••••••••• A••••••• S•••••••• L••Registered adviserregistration: current employment
May 16, 2025 to presentfactForm ADV
→ M••••• W•••••• L••Registered adviserregistration: previous registration
Oct 21, 2021 to May 19, 2025factForm ADV
→ G••••• R••••••••• P••••••• L••Registered adviserregistration: previous registration
Nov 9, 2017 to Oct 15, 2021factForm ADV
→ G••••• S••••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:04487e1b-16ef-d72b-670a-3ab3d6165807
First observed: Nov 1, 2007
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.