DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)31 years in industry

E•••• W•••••••••

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

PLYMOUTH, MN | LONG BEACH, NY

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Search this name across graphsid dfx:ria:2307f0b8-a7ef-d34b-604e-f5031b368546

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:23 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Apr 26, 2021 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: Mar 8, 1995earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 2derivedfrom 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	May 1, 2024	n/a	yes	LONG BEACH, NY\|PLYMOUTH, MN	Current employment
T•• R••••••••• G••••• L••	Former SEC adviser	Apr 4, 2024	Jun 13, 2024	no	Long Beach, NY\|SAN DIEGO, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
T•• R••••••••• G••••• L••	W••••• E••••••••• A••••••• S•••••••• L••	Jun 13, 2024	May 1, 2024	-43	Firm change after gap	RIA to RIA
O•••• W•••••• I•••	T•• R••••••••• G••••• L••	May 3, 2024	Apr 4, 2024

Relationships

Registered with (4)

→ W••••• E••••••••• A••••••• S•••••••• L••Registered adviserregistration: current employment
May 1, 2024 to presentfactForm ADV
→ T•• R••••••••• G••••• L••Registered adviserregistration: previous registration
Apr 4, 2024 to Jun 13, 2024factForm ADV
→ O•••• W•••••• I•••Registered adviserregistration: previous registration
Nov 3, 2023 to May 3, 2024factForm ADV
→ F•• S••••••••• C•••••••••

Dated events

Occurred
Jun 13, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
May 3, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2307f0b8-a7ef-d34b-604e-f5031b368546
First observed: Apr 26, 2021
Last observed: Sep 15, 2026 8 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.