DFX Intelligence

S•••••••• M•••• R••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner12 years in industry

S•••••••• M•••• R••••••

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

BELLEVUE, WA | PLYMOUTH, MN

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Search this name across graphsid dfx:ria:3ad4411f-c968-757b-464a-f78423e3e64e

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:16 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Jul 6, 2020 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: Jun 1, 2014earliest registration or exam on IAPD
Years in industry: 12derivedfrom 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 3, 2026	n/a	yes	PLYMOUTH, MN\|BELLEVUE, WA	Current employment
T•• H• G•••• W••••••••• I•••	Former SEC adviser	Jul 6, 2020	May 14, 2026	no	BELLEVUE, WA\|BELLEVUE, WA\|BELLEVUE, WA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
T•• H• G•••• W••••••••• I•••	W••••• E••••••••• A••••••• S•••••••• L••	May 14, 2026	Mar 3, 2026	-72	Firm change after gap	RIA to ibd

Team moves

••• Locked

Team	Left	Joined	From	Kind
300464:116407:WA:2026-05-14	May 14, 2026	Mar 3, 2026	BELLEVUE, WA	Firm change after gap

Relationships

Registered with (2)

→ W••••• E••••••••• A••••••• S•••••••• L••Registered adviserregistration: current employment
Mar 3, 2026 to presentfactForm ADV
→ T•• H• G•••• W••••••••• I•••Registered adviserregistration: previous registration
Jul 6, 2020 to May 14, 2026factForm ADV

Dated events

Occurred
May 14, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3ad4411f-c968-757b-464a-f78423e3e64e
First observed: Jul 6, 2020
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.