DFX Intelligence

L•• R••• B••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)22 years in industry

L•• R••• B••••••

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

PLYMOUTH, MN | ATHENS, GA

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:42 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Feb 8, 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: Nov 14, 2003earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
W••••• E••••••••• A••••••• S•••••••• L••	Bd affiliated wealth	Oct 7, 2024	n/a	yes	ATHENS, GA\|PLYMOUTH, MN	Current employment
F••••••• C•••••• A•••••••• L••	Former SEC adviser	Jun 6, 2011	Oct 3, 2024	no	GREENVILLE, SC\|ATHENS, GA\|GREENVILLE, SC

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
F••••••• C•••••• A•••••••• L••	W••••• E••••••••• A••••••• S•••••••• L••	Oct 3, 2024	Oct 7, 2024	4	Firm change	RIA to ibd
P••• A••••• S••••••••• L••	F••••••• C•••••• A•••••••• L••	May 27, 2011	Jun 6, 2011

Team moves

••• Locked

Team	Left	Joined	From	Kind
145460:116407:SC:2024-10-03	Oct 3, 2024	Oct 7, 2024	GREENVILLE, SC	Firm change

Relationships

Registered with (5)

→ W••••• E••••••••• A••••••• S•••••••• L••Registered adviserregistration: current employment
Oct 7, 2024 to presentfactForm ADV
→ F••••••• C•••••• A•••••••• L••Registered adviserregistration: previous registration
Jun 6, 2011 to Oct 3, 2024factForm ADV
→ P••• A••••• S••••••••• L••Registered adviserregistration: previous registration
Mar 14, 2006 to May 27, 2011factForm ADV
→ J••• S•••••••• A•••••••• L••

Dated events

Order

Occurred
3 Oct 2024
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Feb 8, 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.