P••• D••••••

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

PLYMOUTH, MN | SUMMIT, NJ

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:07cecb24-8419-fcf3-be47-d1c6c94d29e0

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:54 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Mar 28, 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: Aug 5, 1987earliest registration or exam on IAPD
Years in industry: 39derivedfrom the industry start date
Years at current firm: 1derivedfrom 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	Nov 7, 2024	n/a	yes	PLYMOUTH, MN\|SUMMIT, NJ	Current employment
M•• C•••••• M••••••••• I••	Former SEC adviser	Mar 28, 2013	Nov 21, 2024	no	SUMMIT, NJ

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M•• C•••••• M••••••••• I••	W••••• E••••••••• A••••••• S•••••••• L••	Nov 21, 2024	Nov 7, 2024	-14	Firm change	RIA to ibd

Team moves

••• Locked

Team	Left	Joined	From	Kind
110472:116407:NJ:2024-11-21	Nov 21, 2024	Nov 7, 2024	SUMMIT, NJ	Firm change

Relationships

Registered with (2)

→ W••••• E••••••••• A••••••• S•••••••• L••Registered adviserregistration: current employment
Nov 7, 2024 to presentfactForm ADV
→ M•• C•••••• M••••••••• I••Registered adviserregistration: previous registration
Mar 28, 2013 to Nov 21, 2024factForm ADV

Dated events

Occurred
Nov 21, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:07cecb24-8419-fcf3-be47-d1c6c94d29e0
First observed: Mar 28, 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.