DFX Intelligence

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

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RIA / WealthAdvisorChartered Financial Consultantdual registered (broker-dealer)33 years in industry

E••• M•••••• A••••

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

LARKSPUR, CA | PLYMOUTH, MN

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Search this name across graphsid dfx:ria:3144e162-7e1d-72ad-3da1-b316a8329161

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:34 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Sep 1, 2005 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: Jan 8, 1993earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
W••••• E••••••••• A••••••• S•••••••• L••	Bd affiliated wealth	Aug 3, 2022	n/a	yes	PLYMOUTH, MN\|LARKSPUR, CA	Current employment
L•• F•••••••• L••	Bd affiliated wealth	Sep 8, 2009	Dec 18, 2009	no	HIDDEN VALLEY LAKE, CA\|LARKSPUR, CA\|SAN MATEO, CA\|COPPEROPOLIS, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
T•••• W••••• M•••••••••	A••••••••• P••••••• I••••••••• A••••••• I••	Sep 1, 2022	Oct 3, 2007	-5,447	Firm change after gap	Other
L•• F•••••••• L••	W••••• E••••••••• A••••••• S•••••••• L••	Dec 18, 2009	Aug 3, 2022

Relationships

Registered with (5)

→ W••••• E••••••••• A••••••• S•••••••• L••Registered adviserregistration: current employment
Aug 3, 2022 to presentfactForm ADV
→ T•••• W••••• M•••••••••Registered adviserregistration: previous registration
Oct 5, 2005 to Sep 1, 2022factForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Sep 8, 2009 to Dec 18, 2009factForm ADV
→ A••••••••• P••••••• I••••••••• A••••••• I••

Dated events

Occurred
Sep 1, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3144e162-7e1d-72ad-3da1-b316a8329161
First observed: Sep 1, 2005
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.