DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Consultantdual registered (broker-dealer)24 years in industry

S•••••• W•••• B•••••

Advisor at C••••• I••••••••• A••••••• L••

Rice Lake, WI

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Search this name across graphsid dfx:ria:32472c33-0311-6a82-cd5f-882c26e84c09

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:30 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Apr 6, 2004 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: C••••• I••••••••• A••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Oct 10, 2001earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• I••••••••• A••••••• L••	Bd affiliated wealth	Dec 15, 2025	n/a	yes	Rice Lake, WI	Current employment
W••••• M••••••••• G••••• L••	Former SEC adviser	Jul 23, 2019	Dec 22, 2021	no	CUMBERLAND, WI\|Rice Lake, WI

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L•• F•••••••• L••	W••••• M••••••••• G••••• L••	Dec 18, 2025	Jan 9, 2015	-3,996	Firm change after gap	Other
W••••• M••••••••• G••••• L••	C••••• I••••••••• A••••••• L••	Dec 22, 2021	Dec 15, 2025

Team moves

••• Locked

Team	Left	Joined	From	Kind
6413:173629:WI:2025-12-18	Dec 18, 2025	Jan 9, 2015	RICE LAKE, WI	Firm change after gap
173629:105644:WI:2021-12-22	Dec 22, 2021	Dec 15, 2025	RICE LAKE, WI	Firm change after gap

Relationships

Registered with (4)

→ C••••• I••••••••• A••••••• L••Registered adviserregistration: current employment
Dec 15, 2025 to presentfactForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
May 30, 2014 to Dec 18, 2025factForm ADV
→ W••••• M••••••••• G••••• L••Registered adviserregistration: previous registration
Jul 23, 2019 to Dec 22, 2021factForm ADV
→ B•• I••••••••• A•••••••• I•••

Dated events

Occurred
Dec 18, 2025
Advisor changed firm
S•••••• W•••• B••••• left L•• F•••••••• L•• for W••••• M••••••••• G••••• L•• (registered 2015-01-09)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:32472c33-0311-6a82-cd5f-882c26e84c09
First observed: Apr 6, 2004
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.