DFX Intelligence

L••••••• T••••• H•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner41 years in industry

L••••••• T••••• H•••••••

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

SALEM, OR | PLYMOUTH, MN

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Search this name across graphsid dfx:ria:25beebec-8138-3026-0c3e-fcd1a56cf5e3

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:03 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Jul 25, 1997 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: Feb 26, 1985earliest registration or exam on IAPD
Years in industry: 41derivedfrom the industry start date
Years at current firm: 0derivedfrom 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	Mar 2, 2026	n/a	yes	PLYMOUTH, MN\|SALEM, OR	Current employment
T•• H• G••••• I•••	Former SEC adviser	Jul 25, 1997	May 13, 2026	no	PORTLAND, OR\|SALEM, OR

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
T•• H• G••••• I•••	W••••• E••••••••• A••••••• S•••••••• L••	May 13, 2026	Mar 2, 2026	-72	Firm change after gap	RIA to ibd

Team moves

••• Locked

Team	Left	Joined	From	Kind
106801:116407:OR:2026-05-13	May 13, 2026	Mar 2, 2026	SALEM, OR	Firm change after gap

Relationships

Registered with (2)

→ W••••• E••••••••• A••••••• S•••••••• L••Registered adviserregistration: current employment
Mar 2, 2026 to presentfactForm ADV
→ T•• H• G••••• I•••Registered adviserregistration: previous registration
Jul 25, 1997 to May 13, 2026factForm ADV

Dated events

Occurred
May 13, 2026
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:25beebec-8138-3026-0c3e-fcd1a56cf5e3
First observed: Jul 25, 1997
Last observed: Sep 14, 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.