DFX Intelligence

m•• s•••• W••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisor21 years in industry

m•• s•••• W••••••••

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

NORTHBROOK, IL | PLYMOUTH, MN

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Search this name across graphsid dfx:ria:12574903-cdcf-5739-0b66-2be77560f39f

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:54 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Nov 3, 2004 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: Oct 19, 2004earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
W••••• E••••••••• A••••••• S•••••••• L••	Bd affiliated wealth	Aug 3, 2026	n/a	yes	PLYMOUTH, MN\|NORTHBROOK, IL	Current employment
M•••••• C••••••	Former SEC adviser	Dec 1, 2017	Aug 27, 2026	no	NORTHBROOK, IL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M•••••• C••••••	W••••• E••••••••• A••••••• S•••••••• L••	Aug 27, 2026	Aug 3, 2026	-24	Firm change	RIA to ibd
U•• F•••••••• S••••••• I•••	M•••••• C••••••	Dec 11, 2017	Dec 1, 2017

Team moves

••• Locked

Team	Left	Joined	From	Kind
290909:116407:IL:2026-08-27	Aug 27, 2026	Aug 3, 2026	NORTHBROOK, IL	Firm change

Relationships

Registered with (4)

→ W••••• E••••••••• A••••••• S•••••••• L••Registered adviserregistration: current employment
Aug 3, 2026 to presentfactForm ADV
→ M•••••• C••••••Registered adviserregistration: previous registration
Dec 1, 2017 to Aug 27, 2026factForm ADV
→ U•• F•••••••• S••••••• I•••Registered adviserregistration: previous registration
Nov 26, 2008 to Dec 11, 2017factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••

Dated events

Occurred
Aug 27, 2026
Advisor changed firm
M•• S•••• W•••••••• left M•••••• C•••••• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2026-08-03)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:12574903-cdcf-5739-0b66-2be77560f39f
First observed: Nov 3, 2004
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.