P••• P•••••••••

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

DARIEN, CT | PLYMOUTH, MN

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:0724ee23-482e-b888-62de-31f8a5f7940a

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:22 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Dec 2, 2011 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: Jun 6, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
W••••• E••••••••• A••••••• S•••••••• L••	Bd affiliated wealth	Jun 2, 2016	n/a	yes	DARIEN, CT\|PLYMOUTH, MN	Current employment
H•• • C••••••• L••	Former SEC adviser	Dec 2, 2011	Jun 3, 2016	no	DARIEN, CT

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
H•• • C••••••• L••	W••••• E••••••••• A••••••• S•••••••• L••	Jun 3, 2016	Jun 2, 2016	-1	Firm change	Other

Team moves

••• Locked

Team	Left	Joined	From	Kind
104769:116407:CT:2016-06-03	Jun 3, 2016	Jun 2, 2016	DARIEN, CT	Firm change

Relationships

Registered with (2)

→ W••••• E••••••••• A••••••• S•••••••• L••Registered adviserregistration: current employment
Jun 2, 2016 to presentfactForm ADV
→ H•• • C••••••• L••Registered adviserregistration: previous registration
Dec 2, 2011 to Jun 3, 2016factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0724ee23-482e-b888-62de-31f8a5f7940a
First observed: Dec 2, 2011
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.